SEC Form 4 · accession 0000775158-16-000370
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W. Johnson
Officer — Exec. VP & Pres., Fire & Emerg
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 9:33 am 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 Stock | Nov 10, 2016 | M | 4,667 | $28.96 | A | 43,115 | D | |
| Common StockF1 | Nov 10, 2016 | S | 4,667 | $63.42 | D | 38,448 | 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 | $28.96 | Nov 10, 2016 | M | 4,667 | D | — | Sep 17, 2019 | Common Stock | 4,667 | 0 | D |
Explanation of responses
- F1Represents weighted average price. Individual sales by lot ranged from $63.38 to $63.44. 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 9/17/2013.