Filing Details
- Accession Number:
- 0001005229-13-000026
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-07-02 13:42:54
- Reporting Period:
- 2013-07-01
- Filing Date:
- 2013-07-02
- Accepted Time:
- 2013-07-02 13:42:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1005229 | Columbus Mckinnon Corp | CMCO | Construction Machinery & Equip (3531) | 160547600 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1214453 | T Timothy Tevens | 140 John James Audubon Parkway Amherst NY 14228-1197 | President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-07-01 | 1,944 | $5.46 | 269,196 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-07-01 | 5,276 | $5.46 | 274,472 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-07-01 | 3,800 | $22.00 | 270,672 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Options (Right to Buy) | Acquisiton | 2013-07-01 | 1,944 | $0.00 | 1,944 | $5.46 |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | Acquisiton | 2013-07-01 | 5,276 | $0.00 | 5,276 | $5.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2005-05-17 | 2014-05-16 | No | 4 | M | Direct |
| 0 | 2005-05-17 | 2014-05-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 267,252 | Direct | |
| Common Stock | 6,039 | Direct | |
| Common Stock | 7,000 | Indirect | By spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Options (Right to Buy) | $28.45 | 2009-05-19 | 2018-05-18 | 8,770 | 8,770 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $13.27 | 2010-05-18 | 2019-05-17 | 45,172 | 45,172 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $18.24 | 2011-05-17 | 2020-05-16 | 33,190 | 33,190 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $19.50 | 2012-05-23 | 2021-05-22 | 31,902 | 31,902 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $13.43 | 2013-05-21 | 2022-05-20 | 53,568 | 53,568 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $18.95 | 2014-05-20 | 2023-05-20 | 44,689 | 44,689 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-05-18 | 8,770 | 8,770 | Direct |
| 2019-05-17 | 45,172 | 45,172 | Direct |
| 2020-05-16 | 33,190 | 33,190 | Direct |
| 2021-05-22 | 31,902 | 31,902 | Direct |
| 2022-05-20 | 53,568 | 53,568 | Direct |
| 2023-05-20 | 44,689 | 44,689 | Direct |
Footnotes
- Includes 84,443 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 6,868 shares become fully vested and non-forfeitable on 5/17/2014; 8,449 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/23/2014; 20,032 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/21/2014, 21,183 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/20/2014, and the remaining 27,911 shares become fully vested and non-forfeitable on 5/21/2015, if reporting person remains an employee of issuer.
- Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employoee Stock Ownership Plan, as amended (the "ESOP").
- The reporting person exercised the remaining 1,944 options on 7/1/13.
- The reporting person exercised the remaining 5,276 options on 7/1/13.
- All exercisable, pursuant to IRS limitations.
- 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.
- Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
- Exercisable 25% per year for four years, beginning 5/21/2013, if reporting person remains an employee of issuer.
- Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an officer of issuer.
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