SEC Form 4 · accession 0000775158-17-000154
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley M. Nelson
Officer — SVP & Pres. Commercial Segment
Period of report
Nov 10, 2017
Accepted (ET)
Nov 14, 2017 · 9:21 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 | Nov 10, 2017 | M | 1,691 | — | A | 18,908 | D | |
| Common Stock | Nov 10, 2017 | F | 569 | $84.90 | D | 18,339 | D | |
| Common Stock | Nov 10, 2017 | M | 10,000 | $19.24 | A | 28,339 | D | |
| Common StockF2 | Nov 10, 2017 | D | 10,000 | $83.99 | D | 18,339 | D | |
| Common StockF2 | Nov 10, 2017 | S | 7,500 | $83.86 | D | 10,839 | 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 10, 2017 | M | 1,691 | D | Nov 12, 2017 | — | Common Stock | 1,691 | 169 | D |
| Stock Appreciation RightsF4,F5 | $19.24 | Nov 10, 2017 | M | 10,000 | D | — | Sep 19, 2018 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock.
- F2Represents weighted average price. Individual sales by lot ranged from $83.66 to $84.06. 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.
- F3Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/12/2016.
- F4Stock Appreciation Rights Award granted pursuant to the Company's Stock Plan.
- F5Stock Appreciation Rights Award vests in one-third (1/3) annual increments commencing on 9/19/2012.