SEC Form 4 · accession 0001344446-15-000006
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 20, 2015
Accepted (ET)
May 22, 2015 · 5:19 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 20, 2015 | F | 189 | $24.67 | D | 16,866 | D | |
| Common StockF2 | May 21, 2015 | F | 204 | $24.88 | D | 16,662 | D | |
| Common StockF3,F4 | May 21, 2015 | F | 854 | $24.88 | D | 15,808 | D | |
| Common Stock | holding | — | — | — | 17,056 | D | ||
| Common StcokF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Options (Right to Buy)F6 | $21.61 | holding | — | — | — | Oct 16, 2006 | Oct 15, 2015 | Common Stock | 12,409 | 12,409 | D |
| Incentive Stock Options (Right to Buy)F7 | $28.45 | holding | — | — | — | May 19, 2009 | May 18, 2018 | Common Stock | 1,307 | 1,307 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $13.27 | holding | — | — | — | May 18, 2010 | May 17, 2019 | Common Stock | 3,804 | 3,804 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $18.24 | holding | — | — | — | May 17, 2011 | May 16, 2020 | Common Stock | 2,795 | 2,795 | D |
| Non-Qualified Stock Options (Right to Buy)F8 | $19.50 | holding | — | — | — | May 23, 2012 | May 22, 2021 | Common Stock | 2,685 | 2,685 | D |
| Non-Qualified Stock Options (Right to Buy)F9 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 4,528 | 4,528 | D |
| Non-Qualified Stock Options (Right to Buy)F10 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 3,771 | 3,771 | D |
| Non-Qualified Stock Options (Right to Buy)F11 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stcok | 1,309 | 1,309 | D |
| Non-Qualified Stock Options (Right to Buy)F12 | $24.94 | holding | — | — | — | May 18, 2016 | May 17, 2025 | Common Stock | 4,162 | 4,162 | D |
Explanation of responses
- F1Represents shares withheld to satisfy tax withholding obligation upon vesting 450.4137 restricted stock units on 5/20/2015.
- F10Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.
- F11Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
- F12Exercisable 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 568.3072 restricted stock units on 5/21/2015.
- F3Represents shares withheld to satisfy tax withholding obligation upon vesting 2,359 restricted stock units on 5/21/2015.
- F4Includes 5,334.9118 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, 569.3148 shares become fully vested and non-forfeitable on 5/21/2016, 900.8274 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/20/2016, 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.
- F5Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- F6The reporting person exercised 10,000 options on 2/25/2015. The remaining 12,409 options are all exercisable, subject to IRS limitations.
- F7All exercisable, subject to IRS limitations.
- F8Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
- F9Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer.