SEC Form 4 · accession 0000775158-16-000379
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 11, 2016
Accepted (ET)
Nov 15, 2016 · 2:37 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 11, 2016 | M | 1,670 | — | A | 40,118 | D | |
| Common StockF2 | Nov 11, 2016 | F | 585 | $65.71 | D | 39,542 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Nov 11, 2016 | M | 1,670 | D | Nov 12, 2016 | — | Common Stock | 1,670 | 3,341 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock.
- F2Amount includes a total of 587.32 shares acquired under the Oshkosh Corporation Employee Stock Purchase Plan through 11/15/2016. Between 9/20/2016 and 11/15/2016, the reporting person acquired 9.01 shares under the Oshkosh Corporation Employee Stock Purchase Plan.
- F3Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/12/2016.