Initial Statement of Beneficial Ownership (3)
March 08 2017 - 9:33AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Freeders James C
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/6/2017
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3. Issuer Name
and
Ticker or Trading Symbol
OSHKOSH CORP [OSK]
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(Last)
(First)
(Middle)
C/O OSHKOSH CORPORATION, 2307 OREGON STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Senior VP and Controller /
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(Street)
OSHKOSH, WI 54902
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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3475.524
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Options
(1)
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(2)
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9/15/2021
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Common Stock
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559
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$46.94
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D
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Options
(1)
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(3)
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11/12/2022
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Common Stock
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1400
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$41.52
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D
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Options
(1)
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(4)
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11/21/2023
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Common Stock
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1750
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$66.89
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D
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Restricted Stock Unit Award
(5)
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(6)
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9/15/2017
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Common Stock
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311.586
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$0
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D
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Restricted Stock Unit Award
(5)
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(7)
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11/12/2018
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Common Stock
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700.189
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$0
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D
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Restricted Stock Unit Award
(5)
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(8)
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11/21/2019
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Common Stock
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802.469
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$0
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D
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Explanation of Responses:
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(
1)
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Option (right to buy) granted pursuant to the Company's Stock Plan.
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(
2)
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Options vest in one-third (1/3) annual increments commencing on 9/15/2015.
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(
3)
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Options vest in one-third (1/3) annual increments commencing on 11/12/2016.
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(
4)
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Options vest in one-third (1/3) annual increments commencing on 11/21/2017.
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(
5)
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Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock.
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(
6)
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Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 9/15/2015.
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(
7)
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Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/12/2016.
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(
8)
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Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/21/2017.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Freeders James C
C/O OSHKOSH CORPORATION
2307 OREGON STREET
OSHKOSH, WI 54902
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Senior VP and Controller
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Signatures
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James C. Freeders
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3/8/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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