SEC Form 4 · accession 0000775158-18-000142
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 12, 2018
Accepted (ET)
Nov 14, 2018 · 5:15 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 | Nov 12, 2018 | M | 1,712 | — | A | 52,290 | D | |
| Common StockF2 | Nov 12, 2018 | F | 548 | $63.52 | D | 51,785 | 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 12, 2018 | M | 1,712 | D | Nov 12, 2018 | — | Common Stock | 1,712 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock.
- F2Amount includes a total of 673.48 shares acquired under the Oshkosh Corporation Employee Stock Purchase Plan through 11/14/2018. Between 11/14/2017 and 11/14/2018, the reporting person acquired 42.57 shares under the Oshkosh Corporation Employee Stock Purchase Plan.
- F3Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/12/2016.