SEC Form 4 · accession 0000775158-16-000297
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ignacio A Cortina
Officer — SVP, Gen. Counsel & Secretary
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 4:16 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 | 10,000 | $32.10 | A | 15,797 | D | |
| Common StockF2 | Aug 1, 2016 | S | 10,000 | $54.21 | D | 5,797 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3,F4 | $32.10 | Aug 1, 2016 | M | 10,000 | D | — | Sep 14, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2009 and due to expire on September 14, 2016.
- F2Represents weighted average price. Individual sales by lot ranged from $54.19 to $54.24. 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.
- F3Option (right to buy) granted pursuant to the Company's Stock Plan.
- F4Options vest in one-third (1/3) annual increments commencing on 09/14/2010.