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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) | $ 21.61 | 10/16/2006 | 10/15/2016 | Common Stock | 45,000 | 45,000 (5) | D | ||||||||
Incentive Stock Options (Right to Buy) | $ 28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 1,307 | 1,307 (6) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 13.27 | 05/18/2010 | 05/17/2019 | Common Stock | 3,804 | 3,804 (7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 2,795 | 2,795 (8) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 19.5 | 05/23/2012 | 05/22/2021 | Common Stock | 2,685 | 2,685 (9) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 13.43 | 05/21/2012 | A | 4,528 | (10) | 05/20/2022 | Common Stock | 4,528 | (10) | 4,528 (10) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Steinberg Richard A 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228-1197 |
V.P. - Human Resources |
Richard A. Steinberg | 05/22/2012 | |
**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) | Represents shares withheld to satisy tax withholding obligation upon vesting 230 restricted stock units on 5/19/2012. |
(2) | Represents restricted stock units issued to reporting person under the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010, subject to forfeiture in whole or part; units become fully vested and non-forfetable 25% per year for four years beginning 5/21/13, if reporting person remains a director of issuer. |
(3) | Includes 5,153 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 507 shares become fully vested and non-forfeitable 5/18/2013; 230 shares become fully vested and non-forfeitable 5/19/2013, 736 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/17/2013, 1,422 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/23/2012, and the remaining 2,258 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer. |
(4) | Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). |
(5) | All 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. |
(9) | Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer. |
(10) | Represents non-qualified stock options issued to reporting person under the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010; options become exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer. |