SEC Form 4 · accession 0001464160-15-000005
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Gene P Buer
Officer — VP Global Svs/Vertical Markets
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 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 | May 18, 2015 | A | 3,627 | $24.94 | A | 38,657 | D | |
| Common StockF2,F3 | May 19, 2015 | F | 272 | $24.80 | D | 38,385 | D | |
| Common Stock | holding | — | — | — | 35,030 | D | ||
| Common StockF4 | holding | — | — | — | 1,011 | 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)F10 | $24.94 | May 18, 2015 | A | 10,444 | A | May 18, 2016 | May 17, 2025 | Common Stock | 10,444 | 10,444 | D |
| Non-Qualified Stock Options (Right to Buy)F5 | $28.45 | holding | — | — | — | May 19, 2009 | May 18, 2018 | Common Stock | 432 | 432 | D |
| Non-Qualified Stock Options (Right to Buy)F5 | $18.24 | holding | — | — | — | May 17, 2011 | May 16, 2020 | Common Stock | 1,622 | 1,622 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $19.50 | holding | — | — | — | May 23, 2012 | May 22, 2021 | Common Stock | 3,230 | 3,230 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 8,360 | 8,360 | D |
| Non-Qualified Stock Options (Right to Buy)F8 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 9,299 | 9,299 | D |
| Non-Qualified Stock Options (Right to Buy)F9 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stock | 8,325 | 8,325 | 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, become fully vested and non-forfeitable 25% per year for four years beginning 5/18/2016, if reporting person remains an employee of issuer.
- F10Represents 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 of 826.0589 restricted stock units on 5/19/2015.
- F3Includes 21,553.1902 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 862.5371 shares become fully vested and non-forfeitable on 5/23/2015; 2,800.2229 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015; 3,331.2474 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/20/2015; 5,808 shares become fully vested and non-forfeitable on 5/21/2015; 2,479.1828 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/18/2016; 2,645 shares become fully vested and non-forfeitable on 5/20/2016; and the remaining 3,627 shares become fully vested and non-forfeitable 25% for four years beginning 5/19/2016, 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").
- F5Fully exercisable, subject to IRS limitations.
- F6Exercisable 50% per year for two years beginning 5/23/2012, if reporting person remains an employee of issuer.
- F7Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer.
- F8Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.
- F9Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.