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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 | ||||||||
Incentive Stock Options (Right to Buy) | $ 29 | (3) | 05/31/2008 | Common Stock | 1,000 | 1,000 (3) | D | ||||||||
Incentive Stock Options (Right to Buy) | $ 20.6 | (3) | 03/31/2009 | Common Stock | 18,000 | 18,000 (3) | D | ||||||||
Incentive Stock Options (Right to Buy) | $ 10 | (4) | 08/19/2011 | Common Stock | 22,500 | 22,500 (4) | D | ||||||||
Incentive Stock Options (Right to Buy) | $ 5.46 | (5) | 05/16/2014 | Common Stock | 22,500 | 22,500 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OWEN JOSEPH J 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228-1197 |
VP and Hoist Group Leader |
Joseph J. Owen | 04/21/2006 | |
**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) | Includes 1,016 shares of formerly restricted common stock which became fully vested and non-forfeitable on 6/10/2004. |
(2) | Reports shares allocated to account of reporting person under the Columbus McKinnon Corporation Employee Stock Ownership Plan, as amended (the "ESOP"). |
(3) | All exercisable, subject to IRS limitations. |
(4) | Originally a 40,500 share stock option, reporting person exercised 10,500 options on 2/13/2006 and 2,500 options on 4/11/06. The remaining 27,500 options are fully excercisable, subject to IRS limitations. |
(5) | Originally a 30,000 share stock option, reporting person exercised 7,500 options on 7/28/2005. The remaining 22,500 options are exercisable 33.33% per year, beginning 5/17/2006 for the next three years, subject to IRS limitations. |