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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 | ||||||||
Options (2) | $ 47.33 | 11/30/2017 | M | 5,600 | (3) | 09/16/2020 | Common Stock | 5,600 | $ 0 | 0 | D | ||||
Options (2) | $ 46.94 | 11/30/2017 | M | 9,100 | (4) | 11/12/2022 | Common Stock | 9,100 | $ 0 | 0 | D | ||||
Options (2) | $ 41.52 | 11/30/2017 | M | 7,600 | (5) | 11/12/2022 | Common Stock | 7,600 | $ 0 | 3,800 | D | ||||
Restricted Stock Units | (6) | 11/30/2017 | A | 4.507 | (7) | (7) | Common Stock | 4.507 | $ 0 | 1,695.538 | D | ||||
Restricted Stock Units | (6) | 11/30/2017 | A | 8.204 | (8) | (8) | Common Stock | 8.204 | $ 0 | 2,060.822 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Johnson James W. C/O OSHKOSH CORPORATION 2307 OREGON STREET OSHKOSH, WI 54902 |
Exec. VP & Pres., Fire & Emerg |
Ignacio A. Cortina, for James W. Johnson | 12/04/2017 | |
**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) | Represents weighted average price. Individual sales by lot ranged from $90.55 to $90.59. The Company will provide, upon request by the SEC staff, the full information regarding the number of shares purchased or sold at each separate price. |
(2) | Option (right to buy) granted pursuant to the Company's Stock Plan. |
(3) | Options vest in one-third (1/3) annual increments commencing on 11/12/2016. |
(4) | Options vest in one-third (1/3) annual increments commencing on 9/16/2014. |
(5) | Options vest in one-third (1/3) annual increments commencing on 9/15/2015. |
(6) | Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock. |
(7) | The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/12/2015. |
(8) | The Restricted Stock Units acquired will be settled proportionately with the Restricted Stock Units Award originally granted on 11/21/2016. |