Filing Details
- Accession Number:
- 0001005229-11-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-03 14:50:44
- Reporting Period:
- 2011-08-01
- Filing Date:
- 2011-08-03
- Accepted Time:
- 2011-08-03 14:50:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1005229 | Columbus Mckinnon Corp | CMCO | Construction Machinery & Equip (3531) | 160547600 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1214461 | L Karen Howard | 140 John James Audubon Parkway Amherst NY 14228 | Vp-Finance & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-08-01 | 6,500 | $10.00 | 67,463 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-08-01 | 8,500 | $10.00 | 75,963 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-08-01 | 700 | $16.25 | 75,263 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 500 | $16.26 | 74,763 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 600 | $16.28 | 74,163 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 300 | $16.30 | 73,863 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 1,700 | $16.31 | 72,163 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 300 | $16.32 | 71,863 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 300 | $16.32 | 71,563 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 1,500 | $16.33 | 70,063 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 500 | $16.34 | 69,563 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 1,000 | $16.35 | 68,563 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 500 | $16.36 | 68,063 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 300 | $16.37 | 67,763 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 90 | $16.38 | 67,673 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 200 | $16.39 | 67,473 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 200 | $16.40 | 67,273 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 100 | $16.41 | 67,173 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 100 | $16.42 | 67,073 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 5 | $16.43 | 67,068 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 200 | $16.45 | 66,868 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 5 | $16.47 | 66,863 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 100 | $16.60 | 66,763 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 401 | $16.61 | 66,362 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 100 | $16.62 | 66,262 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 100 | $16.63 | 66,162 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-01 | 100 | $16.64 | 66,062 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
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Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Options (Right to Buy) | Acquisiton | 2011-08-01 | 6,500 | $0.00 | 6,500 | $10.00 |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | Acquisiton | 2011-08-01 | 8,500 | $0.00 | 8,500 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2002-08-20 | 2011-08-19 | No | 4 | M | Direct |
| 0 | 2002-08-20 | 2011-08-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 60,963 | Direct | |
| Common Stock | 2,778 | Direct | |
| Common Stock | 598,223 | Indirect | Additional shares held by ESOP; reporting person is 1 of 2 trustees; DISCLAIMS beneficial ownership. |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Options (Right to Buy) | $5.46 | 2005-05-17 | 2014-05-16 | 20,000 | 20,000 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $28.45 | 2009-05-19 | 2018-05-18 | 3,380 | 3,380 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $13.27 | 2010-05-18 | 2019-05-17 | 11,063 | 11,063 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $18.24 | 2011-05-17 | 2020-05-16 | 8,129 | 8,129 | Direct |
| Common Stock | Non-Qualified Stock Options (Right to Buy) | $19.50 | 2011-05-23 | 2021-05-22 | 7,597 | 7,597 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-05-16 | 20,000 | 20,000 | Direct |
| 2018-05-18 | 3,380 | 3,380 | Direct |
| 2019-05-17 | 11,063 | 11,063 | Direct |
| 2020-05-16 | 8,129 | 8,129 | Direct |
| 2021-05-22 | 7,597 | 7,597 | Direct |
Footnotes
- Includes 11,375 shares of restricted stock issued to reporting person subject to forfeiture in whole or part; 2,953 shares become fully vested and non-forfeitable 50% for two years beginning 5/18/2012; 1,189 shares become fully vested and non-forfeitable 50% per year for two years beginning 5/19/2012, 3,209 shares become fully vested and non-forfeitable 33.33% per year for three years beginning 5/17/2012, and the remaining 4,024 shares become fully vested and non-forfeitable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
- Sale of shares pursuant to 10b5-1 Plan.
- Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP") (incorrectly reported as 2,775.1667 on previous Form 4).
- Incorrectly reported as 598,225.9256 on previous Form 4.
- All exercisable, subject to IRS limitations.
- Exercisable 25% per year for four years, beginning 5/19/09, if reporting person remains an employee of issuer.
- Exercisable 25% per year for four years beginning 5/18/2010, if reporting person remains an employee of issuer.
- Exercisable 25% per year for four years beginning 5/17/2011, if reporting person remains an employee of issuer.
- 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; options become exercisable 25% per year for four years beginning 5/23/2012, if reporting person remains an employee of issuer.
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