SEC Form 4 · accession 0000775158-16-000298
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Colleen R. Moynihan
Officer — Senior VP, Quality & Cont Impr
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 4:32 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 Stock | Aug 1, 2016 | M | 3,334 | $31.07 | A | 12,334 | D | |
| Common Stock | Aug 1, 2016 | S | 3,334 | $54.82 | D | 9,000 | D | |
| Common Stock | Aug 1, 2016 | M | 6,000 | $19.24 | A | 15,000 | D | |
| Common Stock | Aug 1, 2016 | S | 6,000 | $54.88 | D | 9,000 | D | |
| Common Stock | Aug 1, 2016 | M | 8,000 | $28.96 | A | 17,000 | D | |
| Common StockF1 | Aug 1, 2016 | S | 8,000 | $54.88 | D | 9,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2,F3 | $31.07 | Aug 1, 2016 | M | 3,334 | D | — | Jul 14, 2018 | Common Stock | 3,334 | 0 | D |
| OptionsF2,F4 | $19.24 | Aug 1, 2016 | M | 6,000 | D | — | Sep 19, 2018 | Common Stock | 6,000 | 0 | D |
| OptionsF2,F5 | $28.96 | Aug 1, 2016 | M | 8,000 | D | — | Sep 17, 2019 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Represents weighted average price. Individual sales by lot ranged from $54.85 to $54.91. 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.
- F2Option (right to buy) granted pursuant to the Company's Stock Plan.
- F3Options vest in one-third (1/3) annual increments commencing on 7/14/2012.
- F4Options vest in one-third (1/3) annual increments commencing on 9/19/2012.
- F5Options vest in one-third (1/3) annual increments commencing on 9/17/2013.