SEC Form 4 · accession 0000775158-18-000199
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M. Sagehorn
Officer — Exec. VP and CFO
Period of report
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 3:53 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 | Dec 4, 2018 | M | 12 | $71.56 | A | 150,428 | D | |
| Common Stock | Dec 4, 2018 | F | 6 | $71.56 | D | 150,422 | D | |
| Common StockF2 | Dec 4, 2018 | M | 9 | $71.56 | A | 150,431 | D | |
| Common Stock | Dec 4, 2018 | F | 5 | $71.56 | D | 150,426 | 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 UnitsF3,F4 | — | Dec 3, 2018 | A | 24 | A | — | — | Common Stock | 24 | 3,182 | D |
| Restricted Stock UnitsF3,F5 | — | Dec 3, 2018 | A | 27 | A | — | — | Common Stock | 27 | 4,857 | D |
| Restricted Stock UnitsF3,F6 | — | Dec 4, 2018 | M | 12 | D | — | — | Common Stock | 12 | 3,170 | D |
| Restricted Stock UnitsF3,F7 | — | Dec 4, 2018 | M | 9 | D | — | — | Common Stock | 9 | 4,848 | D |
Explanation of responses
- F1Dividend paid on Restricted Stock Units vested and distributed on November 21, 2018 which fell between dividend record date and dividend payment date.
- F2Dividend paid on Restricted Stock Units vested and distributed on November 20, 2018 which fell between dividend record date and dividend payment date.
- F3Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock.
- F4The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/21/2016.
- F5The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/20/2017.
- F6Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/21/2017.
- F7Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/20/2018.