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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 | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 5.46 | 05/29/2013 | M | 23,374 | 05/17/2005 | 05/16/2014 | Common Stock | 69,424 (13) | $ 0 | 46,050 (3) | D | ||||
Incentive Stock Options (Right to Buy) | $ 5.46 | 05/29/2013 | M | 8,610 | 05/17/2005 | 05/16/2014 | Common Stock | 25,576 (13) | $ 0 | 16,966 (10) | D | ||||
Non-Qualified Stock Options (Right to Buy) | $ 5.46 | 05/30/2013 | M | 22,908 | 05/17/2005 | 05/16/2014 | Common Stock | 46,050 | $ 0 | 23,142 (11) | D | ||||
Incentive Stock Options (Right to Buy) | $ 5.46 | 05/30/2013 | M | 8,441 | 05/17/2005 | 05/16/2014 | Common Stock | 16,966 | $ 0 | 8,525 (12) | D | ||||
Incentive Stock Options (Right to Buy) | $ 28.45 | 05/19/2009 | 05/18/2018 | Common Stock | 8,770 | 8,770 (4) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 13.27 | 05/18/2010 | 05/17/2019 | Common Stock | 45,172 (5) | 45,172 (5) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 18.24 | 05/17/2011 | 05/16/2020 | Common Stock | 33,190 | 33,190 (6) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 19.5 | 05/23/2011 | 05/22/2021 | Common Stock | 31,902 | 31,902 (7) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 13.43 | 05/21/2012 | 05/20/2022 | Common Stock | 53,568 (8) | 53,568 (8) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $ 18.95 | 05/20/2014 | 05/20/2023 | Common Stock | 44,689 (9) | 44,689 (9) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TEVENS TIMOTHY T 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228-1197 |
X | President & CEO |
Mary C. O'Connor, Power of Attorney for Timothy T. Tevens | 05/31/2013 | |
**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 84,443 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 6,868 shares become fully vested and non-forfeitable on 5/17/2014; 8,449 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/23/2014; 20,032 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/21/2014, 21,183 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/20/2014, and the remaining 27,911 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 Employoee Stock Ownership Plan, as amended (the "ESOP"). |
(3) | The reporting person exercised 22,374 options on 5/29/13. The remaining 46,050 options are fully exercisable, subject to IRS limitations. |
(4) | All exercisable, pursuant to IRS limitations. |
(5) | Exercisable 25% per year for four years beginning 5/18/2010, if reporting person remains an employee of issuer. |
(6) | Exercisable 25% per year for four years beginning 5/17/2011, if reporting person remains an employee of issuer. |
(7) | Exercisable 25% per year for four years beginning 5/23/2011, if reporting person remains an employee of issuer. |
(8) | Exercisable 25% per year for four years, beginning 5/21/2012, if reporting person remains an employee of issuer. |
(9) | Exercisable 25% per year for four years beginning 5/20/2014, if reporting person remains an officer of issuer. |
(10) | The reporting person exercised 8,610 options on 5/29/13. The remaining 16,966 options are fully exercisable, subject to IRS limitations. |
(11) | The reporting person exercised 22,908 options on 5/30/13. The remaining 23,142 options are fully exercisable, subject to IRS limitations. |
(12) | The reporting person exercised 8,441options on 5/30/13. The remaining 8,525 options are fully exercisable, subject to IRS limitations. |
(13) | Previously reported as 95,000 incentive stock options, of which, 69,424 were non-qualified stock options and 25,576 were incentive stock options. |