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 |
|
|||||||||||||||
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)
|
2. Issuer Name and Ticker or Trading Symbol
COLUMBUS MCKINNON CORP [ CMCO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 02/13/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
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 | 19,207(1) | D | ||||||||
Common Stock | 02/13/2014 | M | 5,612 | A | $13.27 | 24,819(1) | D | |||
Common Stock | 02/13/2014 | S | 5,612 | D | $26 | 19,207(1) | D | |||
Common Stock | 02/13/2014 | M | 428 | A | $19.5 | 19,635(1) | D | |||
Common Stock | 02/13/2014 | S | 428 | D | $26 | 19,207(1) | D | |||
Common Stock | 02/13/2014 | M | 4,698 | A | $18.24 | 23,905(1) | D | |||
Common Stock | 02/13/2014 | S | 4,698 | D | $26 | 19,207(1) | D | |||
Common Stcok | 737.9507(2) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | ||||||||
Non-Qualified Stock Options (Right to Buy) | $28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 526 | 526(3) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $13.27 | 02/13/2014 | M | 5,612 | 05/18/2010 | 05/17/2019 | Common Stock | 5,612 | $0 | 0(4) | D | ||||
Non-Qualified Stock Options (Right to Buy) | $18.24 | 02/13/2014 | M | 4,698 | 05/17/2011 | 05/16/2020 | Common Stock | 4,698 | $0 | 1,566(5) | D | ||||
Non-Qualified Stock Options (Right to Buy) | $19.5 | 02/13/2014 | M | 428 | 05/23/2012 | 05/22/2021 | Common Stock | 428 | $0 | 5,308(6) | D | ||||
Non-Qualified Stock Option (Right to Buy) | $13.43 | 05/21/2013 | 05/20/2022 | Common Stock | 9,470 | 11,837(7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $18.95 | 05/20/2014 | 05/20/2023 | Common Stock | 4,346(8) | 4,346(8) | D |
Explanation of Responses: |
1. Includes 12,880 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 824 shares become fully vested and non-forfeitable on 5/17/2014; 1,520 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/23/2014; 3,542 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/21/2014; 2,060 shares become fully vested and non-forfeitable 25% per year for four years bginning 5/20/2014; and the remaining 4,934 shares become fully vested and non-forfeitable on 5/21/2015, if reporting person remains an employee of issuer. |
2. Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). |
3. All exercisable, subject to IRS limitations. |
4. The reporting person exercised the remaining 5,612 options on 2/13/2014. |
5. The remaining 1,566 shares become exercisable on 5/17/2014, if reporting person remains an employee of issuer. |
6. The reporting person exercised 428 options on 2/13/2014. Therefore, 2,440 options are exercisable, subject to IRS limitations, and the remaining 2,868 options are exercisable 50% per year for two years beginning 5/23/2014, if reporting person remains an employee of issuer. |
7. Exercisable 25 % per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer. |
8. Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer. |
Remarks: |
Charles R. Giesige | 02/18/2014 | |
** 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. |