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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) | $ 10 | 08/20/2002 | 08/19/2011 | Common Stock | 6,500 | 6,500 (3) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 10 | 08/20/2002 | 08/19/2011 | Common Stock | 8,500 | 8,500 (4) | D | ||||||||
Incentive Stock Options (Right to Buy) | $ 5.46 | 05/17/2005 | 05/16/2014 | Common Stock | 20,000 | 20,000 (5) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 3,380 | 3,380 (6) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 13.27 | 05/18/2010 | 05/17/2019 | Common Stock | 11,063 | 11,063 (7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 8,129 | 8,129 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOWARD KAREN L 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228 |
VP-Finance & CFO |
By: Mary C. O'Connor, Power of Attorney for Karen L. Howard | 04/05/2011 | |
**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) | Includes 10,492 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; 4,429 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/18/2011 and the remaining 1,784 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/19/2011, if reporting person remains an employee of issuer and the remaining 4,279 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/17/201, 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) | Originally a 20,000 incentive stock option grant (incorrectly reported as a 40,500 incentive stock option grant). Reporting person exercised 11,915 options on 4/1/2011 and 1,585 options on 4/4/2011. The remaining 6,500 options are fully exercisable, subject to IRS limitations. |
(4) | Originally a 25,000 non-qualified stock option grant (incorrectly reported as a 4,500 non-qualified stock option grant). Reporting person exercised 14,563 options on 4/1/2011 and 1,937 options on 4/4/2011. The remaining 8,500 options are fully exercisable, subject to IRS limitations. |
(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. |