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) 10/30/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 11/01/2013 |
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 | 10,125(1) | D | ||||||||
Common Stock | 10/30/2013 | S | 610 | D | $26.55 | 9,515(1) | D |
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 | ||||||||
Non-Qualified Stock Options (Right to Buy) | $14.8 | 01/25/2013 | 01/24/2020 | Common Stock | 9,292(2) | 9,292(2) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 1,724(3) | 1,724(3) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $19.5 | 05/23/2012 | 05/22/2021 | Common Stock | 2,334(4) | 2,334(4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $13.43 | 05/21/2013 | 05/20/2022 | Common Stock | 5,517(5) | 5,517(5) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $18.95 | 05/20/2014 | 05/20/2023 | Common Stock | 4,970(6) | 4,970(6) | D |
Explanation of Responses: |
1. Amended to correct the restricted stock unit information provided in the original filing. Includes 8,139 shares of restricted stock units issued to reporting person, subject to forfeiture in whole or part; 227 shares become fully vested and non-forfeitable on 5/17/2014, 618 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/23/2014, 2,064 units become fully vested and non-forfeitable 33.33% per year for three years beginning 5/21/2014, 2,356 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/20/2014, and the remaining 2,874 shares become fully vested and non-forfeitable on 5/21/2015, if reporting person remains an employee of issuer. |
2. Amended to correct the information provided in Column 7. Originally granted 10,000 options. The reporting person exercised 708 options on 10/30/2013. 2,625 options are excerisable, subject to IRS limitations and the remaining 6,667 options become exercisable 50% per year for two years beginning 1/25/2014, if reporting person remain an employee of issuer. |
3. Amended to correct the information provided in Columns 7 and 9. Exercisable 25% per year for four years beginning 5/17/2011, if reporting person remains an employee of issuer. |
4. Amended to correct the information provided in Columns 7 and 9. Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer. |
5. Amended to correct the information provided in Columns 7 and 9. Exercisable 25% per year for four years beginning 5/21/2013, if reporting person remains an employee of issuer. |
6. Amended to correct the information provided in Columns 7 and 9. Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an employee of issuer. |
Remarks: |
Eric Woon | 11/05/2013 | |
** 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. |