SEC Form 4 · accession 0000775158-17-000084
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark M Radue
Officer — EVP Chief Strategy Officer
Period of report
Aug 7, 2017
Accepted (ET)
Aug 8, 2017 · 3:10 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 StockF1 | Aug 7, 2017 | M | 8,500 | $54.63 | A | 50,474 | D | |
| Common StockF2 | Aug 7, 2017 | S | 8,500 | $75.00 | D | 41,974 | D | |
| Common StockF3 | Aug 7, 2017 | M | 6,667 | $28.73 | A | 48,641 | D | |
| Common Stock | Aug 7, 2017 | S | 6,667 | $75.00 | D | 41,974 | 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 | Aug 7, 2017 | M | 8,500 | D | — | Oct 17, 2017 | Common Stock | 8,500 | 0 | D |
| OptionsF4,F6 | $28.73 | Aug 7, 2017 | M | 6,667 | D | — | Sep 20, 2017 | Common Stock | 6,667 | 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 $75.00 to $75.01. 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 2007 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.