SEC Form 4 · accession 0000775158-17-000209
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W. Johnson
Officer — Exec. VP & Pres., Fire & Emerg
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 4:54 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 Stock | Nov 30, 2017 | M | 5,600 | $47.33 | A | 51,673 | D | |
| Common Stock | Nov 30, 2017 | S | 5,600 | $90.59 | D | 46,073 | D | |
| Common Stock | Nov 30, 2017 | M | 9,100 | $46.94 | A | 55,173 | D | |
| Common Stock | Nov 30, 2017 | S | 9,100 | $90.62 | D | 46,073 | D | |
| Common Stock | Nov 30, 2017 | M | 7,600 | $41.52 | A | 53,673 | D | |
| Common StockF1 | Nov 30, 2017 | S | 7,600 | $90.56 | D | 46,073 | 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 | $47.33 | Nov 30, 2017 | M | 5,600 | D | — | Sep 16, 2020 | Common Stock | 5,600 | 0 | D |
| OptionsF2,F4 | $46.94 | Nov 30, 2017 | M | 9,100 | D | — | Nov 12, 2022 | Common Stock | 9,100 | 0 | D |
| OptionsF2,F5 | $41.52 | Nov 30, 2017 | M | 7,600 | D | — | Nov 12, 2022 | Common Stock | 7,600 | 3,800 | D |
| Restricted Stock UnitsF6,F7 | — | Nov 30, 2017 | A | 5 | A | — | — | Common Stock | 5 | 1,696 | D |
| Restricted Stock UnitsF6,F8 | — | Nov 30, 2017 | A | 8 | A | — | — | Common Stock | 8 | 2,061 | D |
Explanation of responses
- F1Represents weighted average price. Individual sales by lot ranged from $90.55 to $90.59. 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.
- F2Option (right to buy) granted pursuant to the Company's Stock Plan.
- F3Options vest in one-third (1/3) annual increments commencing on 11/12/2016.
- F4Options vest in one-third (1/3) annual increments commencing on 9/16/2014.
- F5Options vest in one-third (1/3) annual increments commencing on 9/15/2015.
- F6Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock.
- F7The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/12/2015.
- F8The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/21/2016.