SEC Form 4 · accession 0000801898-17-000002
JOY GLOBAL INC · JOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward L Doheny II
Officer — President and CEO · Director
Period of report
Dec 29, 2016
Accepted (ET)
Jan 3, 2017 · 6:13 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 29, 2016 | M | 21,666 | $21.69 | A | 425,368 | D | |
| Common Stock | Dec 29, 2016 | S | 10,833 | $28.0078 | D | 414,535 | D | |
| Common Stock | Dec 29, 2016 | M | 129,000 | $12.19 | A | 543,535 | D | |
| Common Stock | Dec 29, 2016 | S | 129,000 | $28.0078 | D | 414,535 | D | |
| Common Stock | Dec 29, 2016 | M | 113,871 | $12.19 | A | 528,406 | D | |
| Common Stock | Dec 29, 2016 | S | 113,871 | $28.0078 | D | 414,535 | D | |
| Common Stock | Dec 29, 2016 | S | 10,189 | $28.0307 | D | 404,346 | D | |
| Common Stock | Dec 30, 2016 | M | 144,129 | $12.19 | A | 548,475 | D | |
| Common Stock | Dec 30, 2016 | S | 144,129 | $28.0045 | D | 404,346 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $21.69 | Dec 29, 2016 | M | 21,666 | D | Dec 8, 2011 | Dec 8, 2018 | Common Stock | 21,666 | 0 | D |
| Employee Stock Option (right to buy) | $12.19 | Dec 29, 2016 | M | 129,000 | D | Dec 7, 2016 | Dec 7, 2025 | Common Stock | 129,000 | 258,000 | D |
| Employee Stock Option (right to buy) | $12.19 | Dec 29, 2016 | M | 113,871 | D | Dec 15, 2016 | Dec 7, 2025 | Common Stock | 113,871 | 144,129 | D |
| Employee Stock Option (right to buy) | $12.19 | Dec 30, 2016 | M | 144,129 | D | Dec 15, 2016 | Dec 7, 2025 | Common Stock | 144,129 | 0 | D |