SEC Form 4 · accession 0000801898-15-000112
JOY GLOBAL INC · JOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean D Major
Officer — EVP, GC and Secretary
Period of report
Dec 7, 2015
Accepted (ET)
Dec 9, 2015 · 6:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000801898
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 7, 2015 | A | 14,500 | — | A | 44,512 | D | |
| Common StockF1 | Dec 7, 2015 | A | 18,000 | — | A | 62,512 | D | |
| Common StockF2 | Dec 7, 2015 | F | 298 | $12.19 | D | 62,214 | D | |
| Common StockF2 | Dec 7, 2015 | F | 351 | $12.19 | D | 61,863 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $12.19 | Dec 7, 2015 | A | 76,800 | A | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 76,800 | 76,800 | D |
Explanation of responses
- F1Restricted stock unit award.
- F2The securities disposed of represent shares withheld to cover withholding taxes resulting from the settlement of previously awarded restricted stock units.
- F3This option vests in three equal annual installments beginning on December 7, 2016.