SEC Form 4 · accession 0001509464-15-000004

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

May 18, 2015

Accepted (ET)

May 20, 2015 · 6:00 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 Stock^F1	May 18, 2015	A	1,948	$24.94	A	14,463	D
Common Stcok^F2,F3	May 19, 2015	F	184	$24.80	D	14,279	D
Common Stock	holding	—	—		—	12,515	D
Common Stock^F4	holding	—	—		—	302	D
Common Stock	holding	—	—		—	431,322	I	Additional shares held by ESOP; reporting person is 1 of 3 trustees; DISCLAIMS beneficial owernship.

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	5,609	A	May 18, 2016	May 17, 2025	Common Stock	5,609	5,609	D
Non-Qualified Stock Options (Right to Buy)^F5	$18.63	holding	—	—	—	Jan 24, 2014	Jan 23, 2021	Common Stock	10,000	10,000	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	5,424	5,424	D
Non-Qualified Stock Options (Right to Buy)^F8	$18.95	holding	—	—	—	May 20, 2014	May 23, 2023	Common Stock	4,601	4,601	D
Non-Qualified Stock Options (Right to Buy)^F9	$27.12	holding	—	—	—	May 19, 2015	May 19, 2024	Common Stock	4,386	4,386	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.
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 434.6619 restricted stock units on 5/19/2015.
F3Includes 10,833.0994 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 431.2687 shares become fully vested and non-forfeitable on 5/23/2015; 1,363.3326 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015; 1,648.4938 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/20/2015; 2,826 shares become fully vested and non-forfeitable on 5/21/2015; 1,307.0043 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/19/2016; 1,309 shares become fully vested and non-forfeitable on 5/20/2016; and the remaining 1,948 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").
F5Exercisable 33.33% per year for three years beginning on January 24, 2014, if reporting person remains an employee of issuer.
F6Exercisable 25% per year for four 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 officer of issuer.
F9Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.