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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 | ||||||||
Restricted Stock Units | (5) | 07/24/2018 | M | 383.1428 | (1) | (1) | Common Stock | 383.1428 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 07/24/2018 | M | 379.4785 | (2) | (2) | Common Stock | 379.4785 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 07/24/2018 | M | 753.6298 | (3) | (3) | Common Stock | 753.6298 | $ 0 | 0 | D | ||||
Common Stock | (5) | 07/24/2018 | M | 1,500 | (4) | (4) | Common Stock | 1,500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RABINOWITZ STEPHEN 205 CROSSPOINT PARKWAY GETZVILLE, NY 14068 |
Former Director |
Mary C. O'Connor, Power of Attorney for Stephen Rabinowitz | 07/26/2018 | |
**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) | 383.1428 restricted stock units became fully vested upon reporting persons retirement as a director of issuer on July 23, 2018, of which 383 shares were issued as common stock and .1428 was issued in cash of $5.98. |
(2) | 379.4785 restricted stock units became fully vested upon reporting persons retirement as a director of issuer on July 23, 2018, of which 379 shares were issued as common stock and .4785 was issued in cash of $20.03. |
(3) | 753.6298 restricted stock units became fully vested upon reporting persons retirement as a director of issuer on July 23, 2018, of which 752 shares were issued as common stock and 1.6298 was issued in cash of $34.12. |
(4) | 1,500 restricted stock units became fully vested upon reporting persons retirement as a director of issuer on July 23, 2018. |
(5) | Each restricted stock unit represents a contingent right to receive one (1) share of Columbus McKinnon Corporation common stock. |