SEC Form 4 · accession 0001555160-15-000005
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 20, 2015
Accepted (ET)
May 22, 2015 · 5:08 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 20, 2015 | F | 292 | $24.67 | D | 20,284 | D | |
| Common StcokF2 | May 21, 2015 | F | 206 | $24.88 | D | 20,078 | D | |
| Common StcokF3,F4 | May 21, 2015 | F | 835 | $24.88 | D | 19,243 | D | |
| Common Stock | holding | — | — | — | 20,576 | D | ||
| Common StockF5 | 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)F6 | $13.43 | holding | — | — | — | May 21, 2013 | May 20, 2022 | Common Stock | 3,335 | 3,335 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $28.45 | holding | — | — | — | May 19, 2011 | May 18, 2018 | Common Stock | 356 | 356 | D |
| Non-Qualified Stock Options (Right to Buy)F7 | $18.24 | holding | — | — | — | May 17, 2011 | May 16, 2020 | Common Stock | 1,777 | 1,777 | D |
| Non-Qualified Stock Options (Right to Buy)F8 | $19.50 | holding | — | — | — | May 23, 2012 | May 22, 2021 | Common Stock | 1,809 | 1,809 | D |
| Non-Qualified Stock Options (Right to Buy)F9 | $18.95 | holding | — | — | — | May 20, 2014 | May 20, 2023 | Common Stock | 6,788 | 6,788 | D |
| Non-Qualified Stock Options (Right to Buy)F10 | $27.12 | holding | — | — | — | May 19, 2015 | May 19, 2024 | Common Stock | 7,464 | 7,464 | D |
| Non-Qualified Stock Options (Right to Buy)F11 | $24.94 | holding | — | — | — | May 18, 2016 | May 17, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Represents shares withheld to satisfy tax withholding obligation upon vesting 811.1477 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 558.2309 restricted stock units on 5/21/2015.
- F3Represents shares withheld to satisfy tax withholding obligation upon vesting 2,316 restricted stock units on 5/21/2015.
- F4Includes 10,049.9773 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, 559.2385 shares become fully vested and non-forfeitable on 5/21/2016, 1,621.2878 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/20/2016, 2,223.6181 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/19/2016, 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.
- F5Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- F6Exercisable 33% per year for three years beginning 5/21/2014, if reporting person remains an employee of issuer.
- F7All exercisable, subject to IRS limitations.
- F8Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
- F9Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer.