SEC Form 4 · accession 0000775158-16-000296
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M. Sagehorn
Officer — Exec. VP and CFO
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 4:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000775158
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 1, 2016 | M | 3,000 | $49.98 | A | 111,113 | D | |
| Common StockF2 | Aug 1, 2016 | S | 3,000 | $54.41 | D | 108,113 | D | |
| Common Stock | Aug 1, 2016 | M | 3,995 | $12.04 | A | 112,108 | D | |
| Common Stock | Aug 1, 2016 | S | 3,995 | $54.00 | D | 108,113 | D | |
| Common StockF3 | Aug 1, 2016 | M | 42,500 | $32.10 | A | 150,613 | D | |
| Common StockF4 | Aug 1, 2016 | S | 42,500 | $54.12 | D | 108,113 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF5,F6 | $49.98 | Aug 1, 2016 | M | 3,000 | D | — | Oct 18, 2016 | Common Stock | 3,000 | 0 | D |
| OptionsF5,F7 | $12.04 | Aug 1, 2016 | M | 3,995 | D | — | Oct 16, 2018 | Common Stock | 3,995 | 0 | D |
| OptionsF5,F8 | $32.10 | Aug 1, 2016 | M | 42,500 | D | — | Sep 14, 2016 | Common Stock | 42,500 | 0 | D |
Explanation of responses
- F1Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2006 and due to expire on October 18, 2016.
- F2Represents weighted average price. Individual sales by lot ranged from $54.00 to $54.96. The Company will provide, upon request by the SEC staff, the full information regarding the number of shares purchased or sold at each separate price.
- F3Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2009 and due to expire on September 14, 2016.
- F4Represents weighted average price. Individual sales by lot ranged from $54.00 to $54.19. The Company will provide, upon request by the SEC staff, the full information regarding the number of shares purchased or sold at each separate price.
- F5Option (right to buy) granted pursuant to the Company's Stock Plan.
- F6Options vest in one-third (1/3) annual increments commencing on 09/18/2007.
- F7Options vest in one-third (1/3) annual increments commencing on 09/16/2009.
- F8Options vest in one-third (1/3) annual increments commencing on 09/14/2010.