SEC Form 4 · accession 0000775158-16-000373
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
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 9:47 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 StockF1 | Nov 10, 2016 | S | 3,500 | $62.66 | D | 8,431 | D | |
| Common Stock | Nov 10, 2016 | M | 4,700 | $47.33 | A | 13,131 | D | |
| Common StockF2 | Nov 10, 2016 | S | 4,700 | $62.86 | D | 8,431 | D | |
| Common Stock | Nov 10, 2016 | M | 5,116 | $46.94 | A | 13,547 | D | |
| Common StockF3 | Nov 10, 2016 | S | 5,116 | $62.83 | D | 8,431 | 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 | $47.33 | Nov 10, 2016 | M | 4,700 | D | — | Sep 16, 2020 | Common Stock | 4,700 | 0 | D |
| OptionsF4,F6 | $46.94 | Nov 10, 2016 | M | 5,116 | D | — | Sep 15, 2021 | Common Stock | 5,116 | 2,559 | D |
Explanation of responses
- F1Represents weighted average price. Individual sales by lot ranged from $62.58 to $62.69. 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 $62.83 to $62.93. 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.
- F3Represents weighted average price. Individual sales by lot ranged from $62.82 to $62.87. 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.
- F4Option (right to buy) granted pursuant to the Company's Stock Plan.
- F5Options vest in one-third (1/3) annual increments commencing on 9/16/2014.
- F6Options vest in one-third (1/3) annual increments commencing on 9/15/2015.