SEC Form 4 · accession 0000801898-16-000298
JOY GLOBAL INC · JOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Koetz
Other
Period of report
Dec 28, 2016
Accepted (ET)
Dec 29, 2016 · 1:34 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 28, 2016 | M | 11,667 | $12.19 | A | 47,558 | D | |
| Common Stock | Dec 28, 2016 | S | 11,667 | $28.04 | D | 35,891 | D | |
| Common Stock | Dec 28, 2016 | M | 23,333 | $12.19 | A | 59,224 | D | |
| Common Stock | Dec 28, 2016 | S | 23,333 | $28.04 | D | 35,891 | D | |
| Common Stock | Dec 28, 2016 | S | 165 | $28.02 | D | 35,726 | 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 28, 2016 | M | 11,667 | D | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 11,667 | 23,333 | D |
| Employee Stock Option (right to buy) | $12.19 | Dec 28, 2016 | M | 23,333 | D | Dec 15, 2016 | Dec 7, 2025 | Common Stock | 23,333 | 0 | D |