FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
COLUMBUS MCKINNON CORP [ CMCO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/28/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 315,853.96(1) | D | ||||||||
Common Stock | 02/28/2017 | F | 22,317.96(2) | D | $0 | 293,536 | D | |||
Common Stcok | 6,223(3) | D | ||||||||
Common Stock | 7,000 | I | By spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Options (Right to Buy) | $28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 8,770 | 8,770(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $13.27 | 05/18/2010 | 05/17/2019 | Common Stock | 45,172 | 45,172(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 33,190 | 33,190(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $19.5 | 05/23/2011 | 05/22/2021 | Common Stock | 31,902 | 31,902(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $13.43 | 05/21/2013 | 02/28/2022(5) | Common Stock | 53,568 | 53,568(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $18.95 | 05/20/2014 | 02/28/2022(6) | Common Stock | 44,689 | 44,689(7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $27.12 | 05/19/2015 | 02/28/2022(8) | Common Stcok | 38,938 | 38,938(9) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $24.94 | 05/16/2016 | 02/28/2022(10) | Common Stock | 48,847 | 48,847(11) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $15.16 | 05/23/2017 | 02/28/2022(12) | Common Stock | 86,551 | 86,551(13) | D |
Explanation of Responses: |
1. The previously reported total of 315,853.9546 was adjusted by .0054. The new total of 315,853.96 includes 54,022.96 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 5,417.2580 shares become fully vested and non-forfeitable on 5/20/2017; 7,847.5790 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/19/2017; 12,919.1746 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/18/2017; and the remaining 27,838.9484 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/23/2017, if reporting person remains an employee of issuer. |
2. 54,022.96 restricted stock units became fully vested on reporting persons retirement on February 28, 2017, of which 22,311.00 shares were withheld to satisfy tax withholding obligations and 6.96 shares were issued in cash of $180.20. |
3. Represents shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). |
4. Fully exercisable, subject to IRS limitations. |
5. Previously reported as 05/20/2022 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022. |
6. Previously reported as 05/20/2023 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022. |
7. Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/20/2014. |
8. Previously reported as 05/19/2024 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022. |
9. Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/19/2015. |
10. Previously reported as 05/17/2025 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022. |
11. Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/18/2016. |
12. Previously reported as 05/22/2026 and upon reporting persons retirement on February 28, 2017, the expiration date became 02/28/2022. |
13. Reporting persons retired on February 28, 2016 and these options will continue to be exercisable 25% per year for four years beginning 5/23/2017. |
Remarks: |
Mary C. O'Connor, Power of Attorney for Timothy T. Tevens | 03/02/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |