Filing Details
- Accession Number:
- 0001214461-11-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-05 16:08:07
- Reporting Period:
- 2011-04-01
- Filing Date:
- 2011-04-05
- Accepted Time:
- 2011-04-05 16:08:07
- 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 |
|---|---|---|---|---|---|---|---|
| 1214461 | L Karen Howard | 140 John James Audubon Parkway Amherst NY 14228 | Vp-Finance & Cfo | 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 | 2011-04-01 | 26,478 | $10.00 | 77,556 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-01 | 11,500 | $19.83 | 66,056 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-04-01 | 8,800 | $20.01 | 57,256 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-04-04 | 3,522 | $10.00 | 60,778 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-04 | 2,700 | $20.00 | 58,078 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 51,078 | Direct | |
| Common Stock | 2,650 | Direct | |
| Common Stock | 736,265 | Indirect | Additional shares held by ESOP; reporting person is 1 of 2 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) | $10.00 | 2002-08-20 | 2011-08-19 | 6,500 | 6,500 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $10.00 | 2002-08-20 | 2011-08-19 | 8,500 | 8,500 | Direct |
| Common Stock | Incentive Stock Options (Right to Buy) | $5.46 | 2005-05-17 | 2014-05-16 | 20,000 | 20,000 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $28.45 | 2009-05-19 | 2018-05-18 | 3,380 | 3,380 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $13.27 | 2010-05-18 | 2019-05-17 | 11,063 | 11,063 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $18.24 | 2011-05-17 | 2020-05-16 | 8,129 | 8,129 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2011-08-19 | 6,500 | 6,500 | Direct |
| 2011-08-19 | 8,500 | 8,500 | Direct |
| 2014-05-16 | 20,000 | 20,000 | Direct |
| 2018-05-18 | 3,380 | 3,380 | Direct |
| 2019-05-17 | 11,063 | 11,063 | Direct |
| 2020-05-16 | 8,129 | 8,129 | Direct |
Footnotes
- Includes 10,492 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; 4,429 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/18/2011 and the remaining 1,784 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/19/2011, if reporting person remains an employee of issuer and the remaining 4,279 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/17/201, 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").
- Originally a 20,000 incentive stock option grant (incorrectly reported as a 40,500 incentive stock option grant). Reporting person exercised 11,915 options on 4/1/2011 and 1,585 options on 4/4/2011. The remaining 6,500 options are fully exercisable, subject to IRS limitations.
- Originally a 25,000 non-qualified stock option grant (incorrectly reported as a 4,500 non-qualified stock option grant). Reporting person exercised 14,563 options on 4/1/2011 and 1,937 options on 4/4/2011. The remaining 8,500 options are fully exercisable, subject to IRS limitations.
- All exercisable, subject to IRS limitations.
- Exercisable 25% per year for four years, beginning 5/19/09, 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.
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