SEC Form 4 · accession 0001005229-18-000172
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Benjamin AuYeung
Officer — VP-APAC
Period of report
May 22, 2018
Accepted (ET)
May 24, 2018 · 5:35 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 StockF1,F2 | May 22, 2018 | A | 2,602 | $0.00 | A | 15,269 | 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)F3 | $38.70 | May 22, 2018 | A | 6,992 | A | May 22, 2019 | May 22, 2019 | Common Stock | 6,992 | 6,992 | D |
Explanation of responses
- F1Represents restricted stock units issued to reporting person under the Columbus McKinnon Corporation 2016 Long Term Incentive Plan dated as of July 18, 2016, subject to forfeiture in whole or part, units become fully vested and non-forfeitable 25% per year for four years beginning 5/22/19, if reporting person remains an employee of issuer.
- F2Includes 9,535.4657 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 796.9367 shares become fully vested and non-forfeitable on 5/18/2019; 3,861.5721 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/23/2018; and the remaining 2,602 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/22/2019 if reporting person remains an employee of issuer.
- F3Represents non-qualified stock options issued to reporting person under the Columbus McKinnon Corporation 2016 Long Term Incentive Plan dated as of July 18, 2016, subject to forfeiture in whole or part, options become exercisable 25% per year for four years beginning 5/22/19, if reporting person remains an employee of issuer.