FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
COLUMBUS MCKINNON CORP [ CMCO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/19/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 144,595(1) | D | ||||||||
Common Stock | 05/19/2011 | F | 559(2) | D | $19.77 | 144,036(1) | D | |||
Common Stock | 5,753.2099(3) | D | ||||||||
Common Stock | 7,000 | I | by Spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
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 | 6,705 | 6,705(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $10 | 08/20/2005 | 08/19/2011 | Common Stock | 13,295 | 13,295(5) | D | ||||||||
Incentive Stock Options (Right to Buy) | $5.46 | 05/17/2005 | 05/16/2014 | Common Stock | 95,000 | 95,000(6) | D | ||||||||
Incentive Stock Options (Right to Buy) | $28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 8,770 | 8,770(7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $13.27 | 05/18/2010 | 05/17/2019 | Common Stock | 45,172 | 45,172(8) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 33,190 | 33,190(9) | D |
Explanation of Responses: |
1. Includes 40,878 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; 12,055 shares become fully vested and non-forfeitable 50% for two years beginning 5/18/2012; 3,086 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/19/2012, 5,133 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/17/2012, and the remaining 20,604 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 1,543 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 19,310 incentive stock option grant, reporting person exercised 9893 options on 4/1/2011, 1408 options on 4/4/2011 and 1304 options on 4/5/2011. The remaining 6,705 options are fully exercisable, subject to IRS limitations. |
5. Originally a 40,690 non-qualified stock option grant, reporting person exercised 21,695 options on 4/1/2011, 2960 options on 4/4/2011 and 2740 options on 4/5/2011. The remaining 13,295 options are fully exercisable, subject to IRS limitations. |
6. Originally a 125,000 incentive stock option grant, reporting person exercixed 30,000 options on 5/27/2009. The remaining 95,000 options are fully exercisable, subject to IRS limitations. |
7. Exercisable 25% per year for four years beginning 5/19/2009, if reporting person remains an employee of issuer. |
8. Exercisable 25% per year for four years beginning 5/18/2010, if reporting person remains an employee of issuer. |
9. Exercisable 25% per year for four years beginning 5/17/2011, if reporting person remains an employee of issuer. |
Remarks: |
Timothy T. Tevens | 05/20/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |