SEC Form 4 · accession 0001509464-15-000005

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 20, 2015

Accepted (ET)

May 22, 2015 · 5:06 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 20, 2015	F	200	$24.67	D	14,079	D
Common Stcok^F2	May 21, 2015	F	251	$24.88	D	13,828	D
Common Stock^F3,F4	May 21, 2015	F	1,019	$24.88	D	12,809	D
Common Stock	holding	—	—		—	14,279	D
Common Stock^F5	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)^F6	$18.63	holding	—	—	—	Jan 24, 2014	Jan 23, 2021	Common Stock	10,000	10,000	D
Non-Qualified Stock Options (Right to Buy)^F7	$19.50	holding	—	—	—	May 23, 2012	May 22, 2021	Common Stock	3,230	3,230	D
Non-Qualified Stock Options (Right to Buy)^F8	$13.43	holding	—	—	—	May 21, 2013	May 20, 2022	Common Stock	5,424	5,424	D
Non-Qualified Stock Options (Right to Buy)^F9	$18.95	holding	—	—	—	May 20, 2014	May 23, 2023	Common Stock	4,601	4,601	D
Non-Qualified Stock Options (Right to Buy)^F10	$27.12	holding	—	—	—	May 19, 2015	May 19, 2024	Common Stock	4,386	4,386	D
Non-Qualified Stock Options (Right to Buy)^F11	$24.94	holding	—	—	—	May 18, 2016	May 17, 2025	Common Stock	5,609	5,609	D

Explanation of responses

F1Represents shares withheld to satisfy tax withholding obligation upon vesting 549.162 restricted stock units on 5/20/2015.
F10Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
F11Exercisable 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 681.1625 restricted stock units on 5/21/2015.
F3Represents shares withheld to satisfy tax withholding obligation upon vesting 2,826 restricted stock units on 5/21/2015.
F4Includes 6776.7749 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; 682.1701 shares become fully vested and non-forfeitable on 5/21/2016; 1,099.3318 shares become fully vested and non-forfeitable 50% for two years beginning 5/20/2016; 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 5/18/2016 (incorrectly reported as 5/19/2016 on Form 4 filed 5/20/2015), 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").
F6Exercisable 33.33% per year for three years beginning on January 24, 2014, if reporting person remains an employee of issuer.
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 officer of issuer.