SEC Form 4 · accession 0000775158-17-000082
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig P Omtvedt
Director
Period of report
Aug 4, 2017
Accepted (ET)
Aug 8, 2017 · 3:09 pm EDT
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 | Aug 4, 2017 | M | 1,950 | $39.91 | A | 32,374 | D | |
| Common Stock | Aug 4, 2017 | S | 1,950 | $74.77 | D | 30,424 | D | |
| Common Stock | Aug 4, 2017 | M | 2,600 | $7.95 | A | 33,024 | D | |
| Common Stock | Aug 4, 2017 | S | 2,600 | $74.84 | D | 30,424 | D | |
| Common StockF1 | Aug 4, 2017 | M | 2,500 | $38.46 | A | 32,924 | D | |
| Common Stock | Aug 4, 2017 | S | 2,500 | $74.84 | D | 30,424 | 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 | $39.91 | Aug 4, 2017 | M | 1,950 | D | — | Jun 20, 2018 | Common Stock | 1,950 | 0 | D |
| OptionsF2,F4 | $7.95 | Aug 4, 2017 | M | 2,600 | D | — | Mar 4, 2019 | Common Stock | 2,600 | 0 | D |
| OptionsF2,F5 | $38.46 | Aug 4, 2017 | M | 2,500 | D | — | Feb 1, 2018 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2011 and due to expire on February 1, 2018.
- F2Option (right to buy) granted pursuant to the Company's Stock Plan.
- F3Options vest in one-third (1/3) annual increments commencing on 5/20/2009.
- F4Options vest in one-third (1/3) annual increments commencing on 2/3/2010.
- F5Options vest in one-third (1/3) annual increments commencing on 2/1/2012.