SEC Form 4 · accession 0000775158-18-000200
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert H Sims
Officer — EVP & Chief HR Officer
Period of report
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 3:54 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 StockF1 | Dec 4, 2018 | M | 4 | $71.56 | A | 5,750 | D | |
| Common Stock | Dec 4, 2018 | F | 2 | $71.56 | D | 5,748 | D | |
| Common StockF2 | Dec 4, 2018 | M | 3 | $71.56 | A | 5,751 | D | |
| Common Stock | Dec 4, 2018 | F | 1 | $71.56 | D | 5,750 | 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 | 11 | A | — | — | Common Stock | 11 | 2,863 | D |
| Restricted Stock UnitsF3,F5 | — | Dec 3, 2018 | A | 8 | A | — | — | Common Stock | 8 | 1,081 | D |
| Restricted Stock UnitsF3,F6 | — | Dec 3, 2018 | A | 9 | A | — | — | Common Stock | 9 | 1,659 | D |
| Restricted Stock UnitsF3,F7 | — | Dec 4, 2018 | M | 4 | D | — | — | Common Stock | 4 | 1,077 | D |
| Restricted Stock UnitsF3,F8 | — | Dec 4, 2018 | M | 3 | D | — | — | Common Stock | 3 | 1,656 | 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 8/22/2016.
- F5The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/21/2016.
- F6The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/20/2017.
- F7Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/21/2017.
- F8Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/20/2018.