SEC Form 4 · accession 0001527862-15-000004

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 20, 2015 · 5:13 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	4,069	$24.94	A	31,491	D
Common Stock^F2,F3	May 19, 2015	F	334	$24.80	D	31,157	D
Common Stock	holding	—	—		—	27,422	D
Common Stcok^F4	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)^F9	$24.94	May 18, 2015	A	11,716	A	May 18, 2016	May 17, 2025	Common Stock	11,716	11,716	D
Non-Qualified Stock Options (Right to Buy)^F5	$13.10	holding	—	—	—	Oct 24, 2014	Oct 24, 2021	Common Stock	6,000	6,000	D
Non-Qualified Stock Options (Right to Buy)^F6	$13.43	holding	—	—	—	May 21, 2013	May 20, 2022	Common Stock	11,942	11,942	D
Non-Qualified Stock Options (Right to Buy)^F7	$18.95	holding	—	—	—	May 20, 2014	May 20, 2023	Common Stock	10,181	10,181	D
Non-Qualified Stock Options (Right to Buy)^F8	$27.12	holding	—	—	—	May 19, 2015	May 19, 2024	Common Stock	9,330	9,330	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.
F2Represents shares withheld to satisfy tax withholding obligation upon vesting 925.6689 restricted stock units on 5/19/2015.
F3Includes 21,553.1902 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, 2,479.1828 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/19/2016; 2,896 shares which become fully vested and non-forfeiture on 5/20/2016, and the remaining 4,069 shares become fully vested and non-forfeitable 25% for four years beginning 5/18/2016, 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 10/24/2014, if reporting person remains an employee of issuer.
F6Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer.
F7Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.
F8Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
F9Represents 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.