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) 05/22/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 05/24/2019 |
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 | 05/22/2019 | F | 315.739 | D | $36.05 | 25,240.8564(1) | D | |||
Common Stock | 05/22/2019 | F | 239.0281 | D | $36.05 | 25,001.8283(1)(2)(3) | D |
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 | ||||||||
Non-Qualified Stock Options (Right to Buy) | $35.16 | 05/20/2020 | 05/19/2029 | Common Stock | 8,674(4) | 8,674(4) | D |
Explanation of Responses: |
1. This Amendment is being filed to correct the amount of securities beneficially owned following the reported transaction(s) specified in Column 5 of Table 1. The amount previously reported included 3,514 restricted stock units issued to reporting person on 5/20/2019 and there was an error in the calculation of that number. The correct number of restricted stock units issued on 5/20/2019 was 4,178. Therefore, the amount specified in Column 5 of Table 1 is being corrected to include the additional 664 shares of restricted stock units issued to reporting person on 5/20/2019. |
2. Footnote number 3 in the original Form 4 filed on 5/22/2019, is being amended to reflect the corrected amount of restricted stock units issued to reporting person on 5/20/2019, and is also being corrected to reflect that 2,851 of those shares become fully vested and non-forfeitable 25% per year for four years beginning 5/20/2020, and that 1,327 of those shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2020, if reporting person remains an employee of issuer. |
3. Footnote number 3 in the original Form 4 filed on 5/22/2019, is being amended to read as follows: Includes 13,801.8283 shares of restricted stock issued to reporting person; 2,953.3324 shares become fully vested and non-forfeitable 50% for two years beginning on 5/23/2019; 1,858.4674 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/22/2020; 2,118.1011 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/22/2020, 2,693.9274 shares become fully vested and non-forfeitable 11/15/2019, 2,851 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/20/2020, and the remaining 1,327 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2020, if reporting person remains an employee of issuer. Also includes 4,480 shares which become fully vested and non-forfeitable on 5/22/2020, if reporting person remains an employee of issuer. |
4. This Amendment is being filed to further correct the amount of non-qualified stock options issued on 5/20/2019. There was an error in the calculation and the correct amount is 8,674 and not the previously reported amount of 10,694. |
Remarks: |
Alan S. Korman | 06/03/2019 | |
** 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. |