SEC Form 4 · accession 0001527862-15-000003
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory P Rustowicz
Officer — VP - Finance and CFO
Period of report
May 18, 2015
Accepted (ET)
May 19, 2015 · 3:37 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,F2 | May 18, 2015 | A | 23 | $24.94 | A | 27,422 | D | |
| Common Stock | holding | — | — | — | 27,399 | D | ||
| Common StcokF3 | holding | — | — | — | 243 | D | ||
| Common Stock | holding | — | — | — | 431,381 | 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)F4 | $13.10 | holding | — | — | — | Oct 24, 2014 | Oct 24, 2021 | Common Stock | 6,000 | 6,000 | D |
| Non-Qualified Stock Options (Right to Buy)F5 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 11,942 | 11,942 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 10,181 | 10,181 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stock | 9,330 | 9,330 | D |
Explanation of responses
- F1Represents additional restricted stock units attributable to dividend reinvestment.
- F2Includes 23,501.6239 shares of restricted stock units issued to reporting person, subject to forfeiture in whole or part; 4,030.5474 units become fully vested and non-forfeitable 50% per year for two years beginning 10/24/2015, 3,000.7428 units become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015; 3,647.6455 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2015; 6,222 shares become fully vested and non-forfeitable on 5/21/2015, 3,704.6882 shares become fully vested and non-forfeitable 25% for four years beginning 5/19/2015, and 2,896 shares which become fully vested and non-forfeiture on 5/20/2016, if reporting person remains an employee of issuer.
- F3Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- F4Exercisable 33.33% per year for three years beginning 10/24/2014, if reporting person remains an employee of issuer.
- F5Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer.
- F6Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.
- F7Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.