SEC Form 4 · accession 0000775158-17-000032
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank R. Nerenhausen
Officer — EVP & Pres. Access Segment
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 11:10 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 | Feb 23, 2017 | M | 1,200 | $54.63 | A | 41,118 | D | |
| Common StockF2 | Feb 23, 2017 | S | 1,200 | $69.05 | D | 39,918 | D | |
| Common StockF3 | Feb 23, 2017 | M | 20,000 | $28.73 | A | 59,918 | D | |
| Common Stock | Feb 23, 2017 | S | 20,000 | $69.00 | D | 39,918 | D | |
| Common StockF1 | Feb 24, 2017 | M | 1,800 | $54.63 | A | 41,718 | D | |
| Common Stock | Feb 24, 2017 | S | 1,800 | $65.67 | D | 39,918 | 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 | $54.63 | Feb 23, 2017 | M | 1,200 | D | — | Oct 17, 2017 | Common Stock | 1,200 | 1,800 | D |
| OptionsF4,F6 | $28.73 | Feb 23, 2017 | M | 20,000 | D | — | Sep 20, 2017 | Common Stock | 20,000 | 0 | D |
| OptionsF4,F5 | $54.63 | Feb 24, 2017 | M | 1,800 | D | — | Oct 17, 2017 | Common Stock | 1,800 | 0 | D |
Explanation of responses
- F1Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2007 and due to expire on October 17, 2017.
- F2Represents weighted average price. Individual sales by lot ranged from $69.00 to $69.10. 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.
- F3Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2010 and due to expire on September 20, 2017.
- F4Option (right to buy) granted pursuant to the Company's Stock Plan.
- F5Options vest in one-third (1/3) annual increments commencing on 09/17/2008.
- F6Options vest in one-third (1/3) annual increments commencing on 09/20/2011.