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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 | (3) | (2) | (2) | Common Stock | 300 (2) | 300 (2) | D | ||||||||
Restricted Stock Units | (3) | (4) | (4) | Common Stock | 650 (4) | 650 (4) | D | ||||||||
Restricted Stock Units | (3) | (5) | (5) | Common Stock | 1,300 | 1,300 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FLEMING RICHARD H 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228 |
X |
Timothy R. Harvey, Power of Attorney for Richard H. Fleming | 08/03/2009 | |
**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) | Originally a 1200 restricted stock unit award, 600 restricted stock units became fully vested and non-forfeitable on August 1, 2007, 300 restricted stock units became fully vested and non-forfeitable on August 1, 2008, and 300 restricted stock units became fully vested and non-forfeitable on August 1, 2009. |
(2) | Originally a 1200 restricted stock unit award, 600 restricted stock units became fully vested and non-forfeitable on August 1, 2008, and 300 restricted stock units became fully vested and non-forfeitable on August 1, 2009. The remaining 300 restricted stock units become fully vested and non-forfeitable on August 1, 2010, if reporting person remains a director of issuer. |
(3) | Each restricted stock unit represents a contingent right to receive one (1) share of Columbus McKinnon Corporation common stock. |
(4) | Originally a 1300 restricted stock unit award, 650 restricted stock units became fully vested and non-forfeitable on July 28, 2009. The remaining 650 restricted stock units become fully vested and non-forfeitable 50% on July 28, 2010 and 50% on July 28, 2011, if reporting person remains a director of issuer. |
(5) | Represents restricted stock units issued to reporting person under the Columbus McKinnon Corporation 2006 Long Term Incentive Plan dated as of May 4, 2006, subject to forfeiture; units become fully vested and non-forfeitable 50% on July 27, 2010, 25% on July 27, 2011 and 25% on July 27, 2012, if reporting person remains a director of issuer. |