SEC Form 4
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*
TEVENS TIMOTHY T

(Last) (First) (Middle)
140 JOHN JAMES AUDUBON PARKWAY

(Street)
AMHERST NY 14228-1197

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
COLUMBUS MCKINNON CORP [ CMCO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President & CEO
3. Date of Earliest Transaction (Month/Day/Year)
05/19/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 270,672 D
Common Stock 05/19/2014 F 4,329(1) D $27.12 266,343 D
Common Stock 05/19/2014 A 15,366(2) A $0 281,709 D
Common Stock 05/19/2014 A 32,536(3) A $0 314,245(4) D
Common Stock 6,167.8748(5) 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)
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) $28.45 05/19/2009 05/18/2018 Common Stock 8,770 8,770(6) D
Non-Qualified Stock Options (Right to Buy) $13.27 05/18/2010 05/17/2019 Common Stock 45,172 45,172(7) D
Non-Qualified Stock Options (Right to Buy) $18.24 05/17/2011 05/16/2020 Common Stock 33,190 33,190(8) D
Non-Qualified Stock Options (Right to Buy) $19.5 05/23/2012 05/22/2021 Common Stock 31,902 31,902(9) D
Non-Qualified Stock Options (Right to Buy) $13.43 05/21/2013 05/20/2022 Common Stock 53,568 53,568(10) D
Non-Qualified Stock Options (Right to Buy) $18.95 05/20/2014 05/20/2023 Common Stock 44,689 44,689(11) D
Non-Qualified Stock Options (Right to Buy) $27.12 05/19/2014 A 38,938 05/19/2014 05/19/2024 Common Stcok 38,938 $0 38,938(12) D
Explanation of Responses:
1. Represents shares withtheld to satisfy tax withholding obligations upon vesting of 6,868 restricted stock units on 5/19/2014.
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-forfeitable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
3. Represents performance shares issued to reporting person under the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010. 19,826 units units become fully vested and non-forfeitable on 5/23/2014 and the remaining 12,710 units become fully vested and non-forfeitable on 5/20/2016, if reporting person remains an employee of issuer.
4. Includes 113,504 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 8,449 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/23/2014; 13,355 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/21/2015, 15,887 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/20/2015, 27,911 shares become fully vested and non-forfeitable on 5/21/2015 and the remaining 15,366 shares become fully vested and non-forfeitable 25% for four years beginning 5/19/2015, if the reporting person remains an employee of issuer. Also includes 32,536 shares which become fully vested and non-forfeitable on 5/20/2016, if reporting person remains an employee of issuer.
5. Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employoee Stock Ownership Plan, as amended (the "ESOP").
6. All exercisable, pursuant to IRS limitations.
7. All exercisable, pursuant to IRS limitations.
8. All exercisable, pursuant to IRS limitations.
9. Exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
10. Exercisable 25% per year for four years, beginning 5/21/2013, if reporting person remains an employee of issuer.
11. Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an officer of issuer.
12. 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, subject to forfeiture in whole or part; options become exercisable 25% per year for four years beginning 5/19/2015, if reporting person remains an employee of issuer.
Remarks:
Mary C. O'Connor, Power of Attorney for Timothy T. Tevens 05/21/2014
** 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.
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