SEC Form 4 · accession 0000801898-16-000289
JOY GLOBAL INC · JOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johannes S. Maritz
Officer — EVP, HR
Period of report
Dec 16, 2016
Accepted (ET)
Dec 20, 2016 · 6:14 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 16, 2016 | S | 5,620 | $28.09 | D | 60,083 | D | |
| Common Stock | Dec 19, 2016 | M | 20,267 | $12.19 | A | 80,350 | D | |
| Common Stock | Dec 19, 2016 | S | 20,267 | $28.05 | D | 60,083 | D | |
| Common Stock | Dec 19, 2016 | S | 1,007 | $28.07 | D | 59,076 | 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 19, 2016 | M | 20,267 | D | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 20,267 | 40,533 | D |