SEC Form 4 · accession 0001555160-15-000004
COLUMBUS MCKINNON CORP · CMCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt F Wozniak
Officer — VP - Americas
Period of report
May 18, 2015
Accepted (ET)
May 20, 2015 · 6:09 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 | 3,473 | $24.94 | A | 20,876 | D | |
| Common StcokF2,F3 | May 19, 2015 | F | 300 | $24.80 | D | 20,576 | D | |
| Common Stock | holding | — | — | — | 17,403 | D | ||
| Common StockF4 | holding | — | — | — | 1,609 | 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 | 10,000 | A | May 18, 2016 | May 17, 2025 | Common Stock | 10,000 | 10,000 | D |
| Non-Qualified Stock Options (Right to Buy)F5 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 3,335 | 3,335 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $28.45 | holding | — | — | — | May 19, 2011 | May 18, 2018 | Common Stock | 356 | 356 | D |
| Non-Qualified Stock Options (Right to Buy)F6 | $18.24 | holding | — | — | — | May 17, 2011 | May 16, 2020 | Common Stock | 1,777 | 1,777 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $19.50 | holding | — | — | — | May 23, 2012 | May 22, 2021 | Common Stock | 1,809 | 1,809 | D |
| Non-Qualified Stock Options (Right to Buy)F8 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 6,788 | 6,788 | D |
| Non-Qualified Stock Options (Right to Buy)F9 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stock | 7,464 | 7,464 | 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 740.5353 restricted stock units on 5/19/2015.
- F3Includes 13,735.3559 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 241.8329 shares become fully vested and non-forfeitable on 5/23/2015, 1,117.4694 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015, 2,432.4355 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2015, 2,223.6181 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/19/2015, 2,316 shares become fully vested and non-forfeitable on 5/21/2015, 1,931 shares become fully vested and non-forfeitable on 5/20/2016, and the remaining 3,473 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% per year for three years beginning 5/21/2014, if reporting person remains an employee of issuer.
- F6All exercisable, subject to IRS limitations.
- 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 5/20/2014, 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.