SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/01/2020 | 3. Issuer Name and Ticker or Trading Symbol COLUMBUS MCKINNON CORP [ CMCO ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 54,053(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Options (Right to Buy) | 05/18/2021 | 05/17/2030 | Common Stock | 62,112(2) | 30.29 | D |
Explanation of Responses: |
1. On June 1, 2020 60,719 shares of restricted stock units were issued to reporting person under the Columbus McKinnon Corporation 2016 Long Term Incentive Plan as amended and restated effective June 5, 2019. 19,000 shares immediately vested on June 1, 2020, and 6,666 of those shares were traded to satisfy tax withholding obligations and 12,334 shares were issued to reporting person. The remaining 41,719 shares are subject to forfeiture in whole or part; of which 22,719 shares become fully vested 33.33% per year for three years beginning 5/18/2021, and 19,000 shares become fully vested on June 1, 2022, if reporting person remains an employee of issuer. |
2. Represents non-qualified stock options issued to reporting person under the Columbus McKinnon Corporation 2016 Long Term Incentive Plan as amended and restated effective June 5, 2019, subject to forfeiture in whole or part; options become exercisable 33.33% per year for three years beginning 5/18/2021, if reporting person remains an employee of issuer. |
Remarks: |
Mary C. O'Connor, Power of Attorney for David J. Wilson | 06/03/2020 | |
** 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 5 (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. |