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*
(Street)
| 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) 06/03/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 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 | 44,056.7007 | D | ||||||||
Common Stock | 06/03/2022 | F | 1,695.5992(1) | D | $35.2 | 42,361.1015 | D | |||
Common Stock | 06/03/2022 | J | 5,858.1015(2) | D | $0 | 36,503 | 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) | $38.7 | 05/22/2019 | 06/03/2027(3) | Common Stock | 7,482 | 7,482 | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $35.16 | 06/03/2022 | J | 2,390(4) | 05/20/2020 | 06/03/2027(5) | Common Stock | 2,390 | $0 | 7,171 | D | ||||
Non-Qualified Stock Options (Right to Buy) | $25.52 | 06/03/2022 | J | 4,907(4) | 05/18/2021 | 06/03/2027(6) | Common Stock | 4,907 | $0 | 9,815 | D | ||||
Non-Qualified Stock Options (Right to Buy) | $54.26 | 05/17/2022 | 06/03/2027(7) | Common Stock | 11,489 | 11,489(8) | D | ||||||||
Non-Qualified Stock Options (Right to Buy) | $33.12 | 06/03/2022 | J | 11,835(9) | 05/16/2023 | 06/03/2027(10) | Common Stock | 11,835 | $0 | 2,370 | D |
Explanation of Responses: |
1. 3,330.5992 restricted stock units became fully vested upon reporting persons retirement on June 3, 2022, of which 1,695 were traded and .5992 were sold to satisfy tax withholding obligations. |
2. Restricted stock units forfeited due to reporting persons retirement. |
3. Previously reported as 5/22/2028 and upon the reporting persons retirement on June 3, 2022, the expiration date became 6/3/2027. |
4. Non-Qualified Stock Options forfeited due to reporting persons retirement on June 3, 2022. |
5. Previously reported as 5/19/2029 and upon the reporting persons retirement on June 3, 2022, the expiration date became 6/3/2027. |
6. Previously reported as 5/17/2030 and upon the reporting persons retirement on June 3, 2022, the expiration date became 6/3/2027. |
7. Previously reported as 5/16/2031 and upon the reporting persons retirement on June 3, 2022, the expiration date became 6/3/2027. |
8. Options were granted on May 17, 2021 of which 3,830 were vested on May 17, 2022, and the remaining 7,659 became vested upon reporting persons retirement on June 3, 2022. |
9. 14,205 Non-Qualified Stock Options were granted to reporting person on May 16, 2022, of which 2,370 became vested upon the reporting persons retirement on June 3, 2022 and the remaining 11,835 were forfeited. |
10. Previously reported as 5/16/2032 and upon the reporting persons retirement on June 3, 2022, the expiration date became 6/3/2027. |
Remarks: |
Kurt F. Wozniak | 06/07/2022 | |
** 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. |