Filing Details
- Accession Number:
- 0001344446-14-000010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-30 11:18:23
- Reporting Period:
- 2014-10-28
- Filing Date:
- 2014-10-30
- Accepted Time:
- 2014-10-30 11:18:23
- 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 |
---|---|---|---|---|---|---|---|
1344446 | A Richard Steinberg | 140 John James Audubon Parkway Amherst NY 14228-1197 | V.p. - Human Resources | No | 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 | 2014-10-28 | 11,000 | $21.61 | 25,367 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-10-28 | 11,000 | $27.13 | 14,367 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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) | Disposition | 2014-10-28 | 11,000 | $0.00 | 11,000 | $21.61 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
11,409 | 2006-10-16 | 2015-10-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 14,367 | Direct | |
Common Stcok | 975 | Direct | |
Common Stock | 470,755 | Indirect | Additional shares held by ESOP; reporting person is 1 of 3 trustees; DISCLAIMS beneficial ownership. |
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 | 1,307 | 1,307 | Direct |
Common Stock | Non-Qualified Stock Options (Right to Buy) | $13.27 | 2010-05-18 | 2019-05-17 | 3,804 | 3,804 | Direct |
Common Stock | Non-Qualified Stock Options (Right to Buy) | $18.24 | 2011-05-17 | 2020-05-16 | 2,795 | 2,795 | Direct |
Common Stock | Non-Qualified Stock Options (Right to Buy) | $19.50 | 2012-05-23 | 2021-05-22 | 2,685 | 2,685 | Direct |
Common Stock | Non-Qualified Stock Options (Right to Buy) | $13.43 | 2013-05-21 | 2022-05-20 | 4,528 | 4,528 | Direct |
Common Stock | Non-Qualified Stock Options (Right to Buy) | $18.95 | 2014-05-20 | 2023-05-20 | 3,771 | 3,771 | Direct |
Common Stcok | Non-Qualified Stock Options (Right to Buy) | $27.12 | 2015-05-19 | 2024-05-19 | 1,309 | 1,309 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-05-18 | 1,307 | 1,307 | Direct |
2019-05-17 | 3,804 | 3,804 | Direct |
2020-05-16 | 2,795 | 2,795 | Direct |
2021-05-22 | 2,685 | 2,685 | Direct |
2022-05-20 | 4,528 | 4,528 | Direct |
2023-05-20 | 3,771 | 3,771 | Direct |
2024-05-19 | 1,309 | 1,309 | Direct |
Footnotes
- Includes 7,567 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 356 shares become fully vested and non-forfeitable on 5/23/2015, 1,129 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015, 1,341 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2015, 2,359 shares become fully vested and non-forfeitable on 5/21/2015, 1,309 shares become fully vested and non-forfeitable 25% for four years beginning 5/19/2015 and the remaining 1,073 shares become fully vested and non-forfeitable on 5/20/2016, if reporting person remains an employee of issuer.
- Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP").
- The reporting person exercised 11,000 options on 10/28/2014. The remaining 22,409 options are all exercisable, subject to IRS limitations.
- All exercisable, subject to IRS limitations.
- 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 employee of issuer.
- Exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.