SEC Form 4 · accession 0000775158-18-000028
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James C Freeders
Officer — Senior VP and Controller
Period of report
Feb 12, 2018
Accepted (ET)
Feb 13, 2018 · 4:26 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 | Feb 12, 2018 | S | 2,300 | $86.70 | D | 1,786 | D | |
| Common Stock | Feb 12, 2018 | M | 559 | $46.94 | A | 2,345 | D | |
| Common Stock | Feb 12, 2018 | M | 700 | $41.52 | A | 3,045 | D | |
| Common Stock | Feb 12, 2018 | M | 583 | $66.89 | A | 3,628 | 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 | $46.94 | Feb 12, 2018 | M | 559 | D | — | Sep 15, 2021 | Common Stock | 559 | 0 | D |
| OptionsF2,F4 | $41.52 | Feb 12, 2018 | M | 700 | D | — | Nov 12, 2022 | Common Stock | 700 | 700 | D |
| OptionsF2,F5 | $66.89 | Feb 12, 2018 | M | 583 | D | — | Nov 21, 2023 | Common Stock | 583 | 1,167 | D |
Explanation of responses
- F1Represents weighted average price. Individual sales by lot ranged from $86.70 to $86.71. 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 9/15/2015.
- F4Options vest in one-third (1/3) annual increments commencing on 11/12/2016.
- F5Options vest in one-third (1/3) annual increments commencing on 11/21/2017.