SEC Form 4 · accession 0000775158-17-000048
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M. Sagehorn
Officer — Exec. VP and CFO
Period of report
Mar 1, 2017
Accepted (ET)
Mar 2, 2017 · 4:34 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 | Mar 1, 2017 | M | 12,800 | $54.63 | A | 131,616 | D | |
| Common StockF2 | Mar 1, 2017 | S | 12,800 | $71.21 | D | 118,816 | D | |
| Common Stock | Mar 1, 2017 | M | 35,000 | $19.24 | A | 153,816 | D | |
| Common StockF3 | Mar 1, 2017 | S | 35,000 | $71.19 | D | 118,816 | 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 | Mar 1, 2017 | M | 12,800 | D | — | Oct 17, 2017 | Common Stock | 12,800 | 0 | D |
| OptionsF4,F6 | $19.24 | Mar 1, 2017 | M | 35,000 | D | — | Sep 19, 2018 | Common Stock | 35,000 | 26,500 | 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 $70.46 to $71.77. 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 $70.40 to $71.82. 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 09/17/2008.
- F6Options vest in one-third (1/3) annual increments commencing on 9/19/2012.