SEC Form 4 · accession 0000775158-16-000300
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Polnaszek
Officer — Senior VP and Controller
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 4:58 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 | 6,167 | $19.24 | A | 42,128 | D | |
| Common StockF1 | Aug 1, 2016 | S | 6,167 | $53.98 | D | 35,961 | D | |
| Common Stock | Aug 1, 2016 | M | 7,334 | $28.96 | A | 43,295 | D | |
| Common StockF2 | Aug 1, 2016 | S | 7,334 | $54.06 | D | 35,961 | D | |
| Common Stock | Aug 1, 2016 | M | 3,800 | $47.33 | A | 39,761 | D | |
| Common Stock | Aug 1, 2016 | S | 3,800 | $54.00 | D | 35,961 | D | |
| Common Stock | Aug 1, 2016 | M | 3,050 | $46.94 | A | 39,011 | D | |
| Common StockF3 | Aug 1, 2016 | S | 3,050 | $54.00 | D | 35,992 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF4,F5 | $19.24 | Aug 1, 2016 | M | 6,167 | D | — | Sep 19, 2018 | Common Stock | 6,167 | 0 | D |
| OptionsF4,F6 | $28.96 | Aug 1, 2016 | M | 7,334 | D | — | Sep 17, 2019 | Common Stock | 7,334 | 0 | D |
| OptionsF4,F7 | $47.33 | Aug 1, 2016 | M | 3,800 | D | — | Sep 16, 2020 | Common Stock | 3,800 | 1,900 | D |
| OptionsF4,F8 | $46.94 | Aug 1, 2016 | M | 3,050 | D | — | Sep 15, 2021 | Common Stock | 3,050 | 6,100 | D |
Explanation of responses
- F1Represents weighted average price. Individual sales by lot ranged from $53.98 to $54.00. 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.
- F2Represents weighted average price. Individual sales by lot ranged from $54.06 to $54.11. 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.
- F3Amount includes a total of 3,366.27 shares acquired under the Oshkosh Corporation Employee Stock Purchase Plan through 8/2/2016. Between 5/18/2016 and 8/2/2016, the reporting person acquired 30.96 shares under the Oshkosh Corporation Employee Stock Purchase Plan.
- F4Option (right to buy) granted pursuant to the Company's Stock Plan.
- F5Options vest in one-third (1/3) annual increments commencing on 9/19/2012.
- F6Options vest in one-third (1/3) annual increments commencing on 9/17/2013.
- F7Options vest in one-third (1/3) annual increments commencing on 9/16/2014.
- F8Options vest in one-third (1/3) annual increments commencing on 9/15/2015.