SEC Form 4 · accession 0001005229-17-000324
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan S Korman
Officer — VP, Gen'l Counsel & Secretary
Period of report
Sep 11, 2017
Accepted (ET)
Sep 12, 2017 · 12:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005229
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 11, 2017 | M | 2,500 | $18.63 | A | 13,121 | D | |
| Common StockF1 | Sep 11, 2017 | S | 2,500 | $32.93 | D | 10,621 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Options (Right to Buy)F2 | $18.63 | Sep 11, 2017 | M | 2,500 | D | Jan 24, 2014 | Jan 23, 2021 | Common Stock | 2,500 | 5,000 | D |
Explanation of responses
- F1Includes 9,507.6572 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 443.5402 shares become fully vested and non-forfeitable on 5/19/2018; 991.7076 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/18/2018; 4,389.6048 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/23/2018; and the remaining 3,682.8046 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/22/2018, if reporting person remains an employee of issuer.
- F2All exercisable, subject to IRS limitations.