| 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 |
|
|||||||||||||||
| 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)
|
2. Issuer Name and Ticker or Trading Symbol
COLUMBUS MCKINNON CORP [ CMCO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
|
3. Date of Earliest Transaction
(Month/Day/Year) 05/20/2014 | ||||||||||||||||||||||||||
|
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 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 | 13,847 | D | ||||||||
| Common Stock | 05/20/2014 | F | 230(1) | D | $27.17 | 13,617(2) | D | |||
| Common Stock | 346.6073(3) | D | ||||||||
| Common Stock | 471,483.3927 | I | Additional shares held by ESOP; reporting person is 1 of 3 trustees; DISCLAIMS beneficial owernship. | |||||||
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 | ||||||||
| Non-Qualified Stock Options (Right to Buy) | $18.63 | 01/24/2014 | 01/23/2021 | Common Stock | 10,000 | 10,000(4) | D | ||||||||
| Non-Qualified Stock Options (Right to Buy) | $19.5 | 05/23/2012 | 05/22/2021 | Common Stock | 3,230 | 3,230(5) | D | ||||||||
| Non-Qualified Stock Options (Right to Buy) | $13.43 | 05/21/2013 | 05/20/2022 | Common Stock | 5,424 | 5,424(6) | D | ||||||||
| Non-Qualified Stock Options (Right to Buy) | $18.95 | 05/20/2014 | 05/23/2023 | Common Stock | 4,601(7) | 4,601(7) | D | ||||||||
| Non-Qualified Stock Options (Right to Buy) | $27.12 | 05/19/2015 | 05/19/2024 | Common Stock | 4,386 | 4,386(8) | D | ||||||||
| Explanation of Responses: |
| 1. Represents shares withheld to satisfy tax withholding obligation upon vesting 545 restricted stock units on 5/20/2014. |
| 2. Includes 11,718 shares of restricted stock units issued to reporting person, subject to forfeiture in whole or part; 856 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/23/2014; 1,353 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015, 1,636 shares become fully vested and non-forfeitable 33.33% for three years beginning 5/20/2015; 2,826 shares become fully vested and non-forfeitable on 5/21/2015, 1,731 shares become fully vested and non-forfeitable for four years beginning 5/19/2015, 2,007 shares become fully vested and non-forfeitable on 5/23/2014 and the remaining 1,309 share become fully vested and non-forfeitable on 5/20/2016, if reporting person remains an employee of issuer. This information corrects the information included in footnote number 3 of the Form 4 filed on 5/21/2014. |
| 3. Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). |
| 4. Exercisable 33.33% per year for three years beginning on January 24, 2014, if reporting person remains an employee of issuer. |
| 5. Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer. |
| 6. Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer. |
| 7. Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an officer of issuer. |
| 8. Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer. |
| Remarks: |
| Alan S. Korman | 05/22/2014 | |
| ** 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. | ||