SEC Form 4 · accession 0001005229-17-000393
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
Dec 4, 2017
Accepted (ET)
Dec 5, 2017 · 12:35 pm EST
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 StockF1 | Dec 4, 2017 | S | 358 | $40.11 | D | 15,346 | D | |
| Common Stock | Dec 4, 2017 | M | 1,200 | $13.43 | A | 16,546 | D | |
| Common Stock | Dec 4, 2017 | S | 1,200 | $40.10 | D | 15,346 | 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 | $13.43 | Dec 4, 2017 | M | 1,200 | D | May 21, 2013 | May 20, 2022 | Common Stock | 1,200 | 4,224 | D |
Explanation of responses
- F1Includes 14,852.3248 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 443.9837 shares become fully vested and non-forfeitable on 5/19/2018; 992.7052 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/18/2018; 4,394.0637 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/23/2018; 3,686.5722 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/22/2018, and the remaining 5,335 shares become fully vested and non-forfeitable 50% per year for two years beginning 11/15/2018, if reporting person remains an employee of issuer.
- F2All exercisable, subject to IRS limitations.