SEC Form 4 · accession 0000801898-16-000294
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 20, 2016
Accepted (ET)
Dec 22, 2016 · 7:59 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 20, 2016 | M | 179 | $12.19 | A | 93,333 | D | |
| Common Stock | Dec 20, 2016 | S | 179 | $28.10 | D | 93,154 | D | |
| Common Stock | Dec 21, 2016 | M | 25,421 | $12.19 | A | 118,575 | D | |
| Common Stock | Dec 21, 2016 | S | 25,421 | $28.01 | D | 93,154 | D | |
| Common Stock | Dec 21, 2016 | S | 15,986 | $28.01 | D | 77,168 | 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 20, 2016 | M | 179 | D | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 179 | 76,621 | D |
| Employee Stock Option (right to buy) | $12.19 | Dec 21, 2016 | M | 25,421 | D | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 25,421 | 51,200 | D |