SEC Form 4 · accession 0000775158-18-000168
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
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 2:16 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 20, 2018 | M | 353 | — | A | 4,223 | D | |
| Common StockF2 | Nov 20, 2018 | F | 114 | $65.29 | D | 4,116 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF3,F4 | $66.09 | Nov 19, 2018 | A | 5,575 | A | — | Nov 19, 2028 | Common Stock | 5,575 | 5,575 | D |
| Restricted Stock UnitsF5,F6 | — | Nov 19, 2018 | A | 2,525 | A | — | — | Common Stock | 2,525 | 2,525 | D |
| Restricted Stock UnitsF1,F7 | — | Nov 20, 2018 | M | 353 | D | Nov 20, 2018 | — | Common Stock | 353 | 707 | 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 614.96 shares acquired under the Oshkosh Corporation Employee Stock Purchase Plan through 11/21/2018. Between 11/14/2017 and 11/21/2018, the reporting person acquired 7.40 shares under the Oshkosh Corporation Employee Stock Purchase Plan.
- F3Option (right to buy) granted pursuant to the Company's Stock Plan.
- F4Options vest in one-third (1/3) annual increments commencing on 11/19/2019.
- F5Restricted Stock Unit Award granted pursuant to the Company's Stock Plan.
- F6Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/19/2019.
- F7Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/20/2018.