SEC Form 4 · accession 0000801898-16-000286
JOY GLOBAL INC · JOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Sullivan
Officer — EVP & CFO
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 5:47 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 Stock | Dec 15, 2016 | M | 44,334 | $12.19 | A | 173,068 | D | |
| Common Stock | Dec 15, 2016 | S | 44,334 | $28.0509 | D | 128,734 | D | |
| Common Stock | Dec 15, 2016 | M | 88,666 | $12.19 | A | 217,400 | D | |
| Common Stock | Dec 15, 2016 | S | 25,377 | $28.0509 | D | 192,023 | D | |
| Common Stock | Dec 15, 2016 | S | 63,289 | $28.0401 | D | 128,734 | D | |
| Common Stock | Dec 15, 2016 | S | 4,000 | $28.05 | D | 124,734 | D | |
| Common Stock | Dec 15, 2016 | S | 173 | $28.0532 | D | 124,561 | D | |
| Common Stock | Dec 15, 2016 | S | 193 | $28.0532 | D | 124,368 | D | |
| Common Stock | Dec 15, 2016 | S | 171 | $28.0532 | D | 124,197 | D | |
| Common Stock | Dec 15, 2016 | S | 378 | $28.0532 | D | 123,819 | D | |
| Common Stock | Dec 15, 2016 | S | 184 | $28.0532 | D | 123,635 | 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) | $12.19 | Dec 15, 2016 | M | 44,334 | D | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 44,334 | 88,666 | D |
| Employee Stock Option (right to buy) | $12.19 | Dec 15, 2016 | M | 88,666 | D | Dec 15, 2016 | Dec 7, 2025 | Common Stock | 88,666 | 0 | D |