SEC Form 4 · accession 0000775158-16-000367
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard G Sim
Director
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 3:04 pm EST
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 | Nov 3, 2016 | M | 2,300 | $38.02 | A | 41,953 | D | |
| Common Stock | Nov 3, 2016 | S | 2,300 | $54.60 | D | 39,653 | 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 | $38.02 | Nov 3, 2016 | M | 2,300 | D | — | Feb 4, 2017 | Common Stock | 2,300 | 0 | D |
Explanation of responses
- F1Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2010 and due to expire on February 4, 2017.
- F2Option (right to buy) granted pursuant to the Company's Stock Plan.
- F3Options vest in one-third (1/3) annual increments commencing on 2/4/2011.