0001214453-11-000013.txt : 20110520 0001214453-11-000013.hdr.sgml : 20110520 20110520162628 ACCESSION NUMBER: 0001214453-11-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110519 FILED AS OF DATE: 20110520 DATE AS OF CHANGE: 20110520 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TEVENS TIMOTHY T CENTRAL INDEX KEY: 0001214453 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34362 FILM NUMBER: 11861915 MAIL ADDRESS: STREET 1: 140 JOHN JAMES AUDUBON PARKWAY CITY: AMHERST STATE: NY ZIP: 14228-1197 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBUS MCKINNON CORP CENTRAL INDEX KEY: 0001005229 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 160547600 STATE OF INCORPORATION: NY FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 140 JOHN JAMES AUDUBON PKWY CITY: AMHERST STATE: NY ZIP: 14228-1197 BUSINESS PHONE: 7166895400 MAIL ADDRESS: STREET 1: 140 JOHN JAMES AUDUBON PARKWAY CITY: AMHERST STATE: NY ZIP: 14228-1197 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2011-05-19 0001005229 COLUMBUS MCKINNON CORP CMCO 0001214453 TEVENS TIMOTHY T 140 JOHN JAMES AUDUBON PARKWAY AMHERST NY 14228 1 1 0 0 President & CEO Common Stock 144595 D Common Stock 2011-05-19 4 F 0 559 19.77 D 144036 D Common Stock 5753.2099 D Common Stock 7000 I by Spouse Incentive Stock Options (Right to Buy) 10.00 2002-08-20 2011-08-19 Common Stock 6705 6705 D Non-Qualified Stock Options (Right to Buy) 10.00 2005-08-20 2011-08-19 Common Stock 13295 13295 D Incentive Stock Options (Right to Buy) 5.46 2005-05-17 2014-05-16 Common Stock 95000 95000 D Incentive Stock Options (Right to Buy) 28.45 2009-05-19 2018-05-18 Common Stock 8770 8770 D Non-Qualified Stock Options (Right to Buy) 13.27 2010-05-18 2019-05-17 Common Stock 45172 45172 D Non-Qualified Stock Options (Right to Buy) 18.24 2011-05-17 2020-05-16 Common Stock 33190 33190 D Includes 40,878 shares of restricted stock issued to reporting person under the Columbus McKinnon Corporation 2006 Long Term Incentive Plan dated as of May 4, 2006, subject to forfeiture in whole or part; 12,055 shares become fully vested and non-forfeitable 50% for two years beginning 5/18/2012; 3,086 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/19/2012, 5,133 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/17/2012, and the remaining 20,604 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/17/2012, if reporting person remains an employee of issuer. Represents shares withheld to satisfy tax withholding obligation upon vesting of 1,543 restricted stock units on 5/19/2011. Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). Originally a 19,310 incentive stock option grant, reporting person exercised 9893 options on 4/1/2011, 1408 options on 4/4/2011 and 1304 options on 4/5/2011. The remaining 6,705 options are fully exercisable, subject to IRS limitations. Originally a 40,690 non-qualified stock option grant, reporting person exercised 21,695 options on 4/1/2011, 2960 options on 4/4/2011 and 2740 options on 4/5/2011. The remaining 13,295 options are fully exercisable, subject to IRS limitations. Originally a 125,000 incentive stock option grant, reporting person exercixed 30,000 options on 5/27/2009. The remaining 95,000 options are fully exercisable, subject to IRS limitations. Exercisable 25% per year for four years beginning 5/19/2009, if reporting person remains an employee of issuer. Exercisable 25% per year for four years beginning 5/18/2010, if reporting person remains an employee of issuer. Exercisable 25% per year for four years beginning 5/17/2011, if reporting person remains an employee of issuer. Timothy T. Tevens 2011-05-20