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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Options (Right to Buy) | $ 10 | 08/20/2002 | 08/19/2011 | Common Stock | 10,000 | 10,000 (4) | D | ||||||||
Incentive Stock Options (Right to Buy) | $ 5.46 | 05/17/2005 | 05/16/2014 | Common Stock | 7,500 | 7,500 (5) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 1,660 | 1,660 (6) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 13.27 | 05/18/2010 | 05/17/2019 | Common Stock | 4,785 | 4,785 (7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 3,516 | 3,516 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OWEN JOSEPH J 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228 |
VP - Supply Chain Mgmt |
Joseph J. Owen | 05/20/2011 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes 3,248 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; 1,276 shares become fully vested and non-forfeitable 50% for two years beginning 5/18/2012; 584 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/19/2012, and the remaining 1,388 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. |
(2) | Represents shares withheld to satisfy tax withholding obligation upon vesting of 292 restricted stock units on 5/19/2011. |
(3) | Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). |
(4) | Originally a 40,500 share stock option, reporting person exercised 10,500 options on 2/13/2006, 2,500 options on 4/11/2006, 5,000 options on 4/20/2006, 2,500 options on 2/14/2011 and 10,000 options on 4/1/2011. The remaining 10,000 options are fully exercisable, subject to IRS limitations. |
(5) | Originally a 30,000 share stock option, reporting person exercised 7,500 options on 7/28/2005, 7,500 options on 6/11/2007 and 7,500 options on 2/08/2008. The remaining 7,500 options are fully exercisable, subject to IRS limitations. |
(6) | Exercisable 25% per year for four years, beginning 5/19/09, if reporting person remains an employee of issuer. |
(7) | Exercisable 25% per year for four years, beginning 5/18/2010, if reporting person remains an employee of issuer. |
(8) | Exercisable 25% per year for four years beginning 5/17/2011, if reporting person remains an employee of issuer. |