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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 | ||||||||
050305EmpStockOption (rtb) | $ 10.14 | 03/11/2010 | G | 24,144 (3) | 05/03/2007 | 05/03/2015 | Common Stock | 90,400 | $ 0 | 66,256 | D | ||||
101502EmpStockOption (rtb) | $ 6.3075 | 10/10/2012 | M | 105,600 (4) | 10/15/2004 | 10/15/2012 | Common Stock | 105,600 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TELLOCK GLEN E 2400 S. 44TH STREET MANITOWOC, WI 54220 |
President and CEO |
Maurice Jones, by Power of Attorney | 10/11/2012 | |
**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) | Net reduction of 36.182 shares occurring between 12/31/10 and 12/31/11 under the Companys 401(k) plan, due to acquisitions of shares plan maintenance fees and required plan forfeitures and withdrawals under IRC safe harbor rules all of which are exempt from Section 16(b) pursuant to rule 16b-3 and exempt from reporting pursuant to rule 16a-3(f)(1)(i)(B). |
(2) | Acquisition by the reporting person's spouse as custodian for minor daughter (M) under the Wisconsin Uniform Transfer to Minors Act. |
(3) | Stock options gifted by the reporting person to the Glen E. and Susan Tellock Family Endowment Trust on March 11, 2010 from the May 3, 2005 grant. |
(4) | In addition to this exercise, 74,400 of stock options had previously been gifted on March 11, 2010 by the reporting person to the Glen E. and Susan Tellock Family Endowment Trust leaving zero stock options from the October 15, 2002 grant being held by the reporting person. |
(5) | Weighted average price of shares sold at prices ranging between $13.27 to $13.67 per share. |