SEC Form 4 · accession 0001344446-15-000005
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Steinberg
Officer — V.P. - Human Resources
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 6:19 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 | May 18, 2015 | A | 1,445 | $24.94 | A | 17,195 | D | |
| Common StockF2,F3 | May 19, 2015 | F | 139 | $24.80 | D | 17,056 | D | |
| Common Stock | holding | — | — | — | 15,750 | D | ||
| Common StcokF4 | holding | — | — | — | 1,030 | D | ||
| Common Stock | holding | — | — | — | 430,594 | I | Additional shares held by ESOP; reporting person is 1 of 3 trustees; DISCLAIMS beneficial ownership. |
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)F11 | $24.94 | May 18, 2015 | A | 4,162 | A | May 18, 2016 | May 17, 2025 | Common Stock | 4,162 | 4,162 | D |
| Incentive Stock Options (Right to Buy)F5 | $21.61 | holding | — | — | — | Oct 16, 2006 | Oct 15, 2015 | Common Stock | 12,409 | 12,409 | D |
| Incentive Stock Options (Right to Buy)F6 | $28.45 | holding | — | — | — | May 19, 2009 | May 18, 2018 | Common Stock | 1,307 | 1,307 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $13.27 | holding | — | — | — | May 18, 2010 | May 17, 2019 | Common Stock | 3,804 | 3,804 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $18.24 | holding | — | — | — | May 17, 2011 | May 16, 2020 | Common Stock | 2,795 | 2,795 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $19.50 | holding | — | — | — | May 23, 2012 | May 22, 2021 | Common Stock | 2,685 | 2,685 | D |
| Non-Qualified Stock Options (Right to Buy)F8 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 4,528 | 4,528 | D |
| Non-Qualified Stock Options (Right to Buy)F9 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 3,771 | 3,771 | D |
| Non-Qualified Stock Options (Right to Buy)F10 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stcok | 1,309 | 1,309 | D |
Explanation of responses
- F1Represents restricted stock units issued to reporting person under the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010, subject to forfeiture in whole or part; units become fully vested and non-forfeitable 25% per year for four years beginning 5/18/2016, if reporting person remains an employee of issuer.
- F10Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
- F11Represents non-qualified stock options issued to reporting person under the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010, subject to forfeiture in whole or part; options become exercisable 25% per year for four years beginning 5/18/2016, if reporting person remains an employee of issuer.
- F2Represents shares withheld to satisfy tax withholding obligation upon vesting 329.0149 restricted stock units on 5/19/2015.
- F3Includes 8,712.6327 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 358.7186 shares become fully vested and non-forfeitable on 5/23/2015, 1,137.622 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015, 1,351.2411 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2015, 2,359 shares become fully vested and non-forfeitable on 5/21/2015, 988.051 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/19/2016, 1,073 shares become fully vested and non-forfeitable on 5/20/2016, and the remaining 1,445 shares become fully vested and non-forfeitable 25% for four years beginning 5/18/2016, if reporting person remains an employee of issuer.
- F4Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- F5The reporting person exercised 10,000 options on 2/25/2015. The remaining 12,409 options are all exercisable, subject to IRS limitations.
- F6All exercisable, subject to IRS limitations.
- F7Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
- F8Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer.
- F9Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.