Statement of Changes in Beneficial Ownership (4)
November 17 2021 - 04:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Johnson James W. |
2. Issuer Name and Ticker or Trading Symbol
OSHKOSH CORP
[
OSK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Exec. VP & Pres., Fire & Emerg |
(Last)
(First)
(Middle)
C/O OSHKOSH CORPORATION, 1917 FOUR WHEEL DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/15/2021 |
(Street)
OSHKOSH, WI 54902
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/16/2021 | | M | | 1495.611 | A | (1) | 41494.507 | D | |
Common Stock | 11/16/2021 | | F | | 703 | D | $115.07 | 40806.807 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (3) | 11/15/2021 | | A | | 1525 | | (4) | (4) | Common Stock | 1525 | $0 | 1525 | D | |
Restricted Stock Units | (1) | 11/16/2021 | | M | | | 1495.611 | 11/16/2021 | (5) | Common Stock | 1495.611 | $0 | 2992.229 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit represents a contingent right to receive one share of OSK common stock. |
(2) | Amount includes a total of 797.82 shares acquired under the Oshkosh Corporation Employee Stock Purchase Plan through November 17, 2021. Between May 8, 2021 and November 17, 2021, the reporting person acquired 15.30 shares under the Oshkosh Corporation Employee Stock Purchase Plan. |
(3) | Restricted Stock Unit Award granted pursuant to the Company's Stock Plan. |
(4) | Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/15/2022. |
(5) | Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/16/2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Johnson James W. C/O OSHKOSH CORPORATION 1917 FOUR WHEEL DRIVE OSHKOSH, WI 54902 |
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| Exec. VP & Pres., Fire & Emerg |
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Signatures
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Ignacio A. Cortina, for James W. Johnson | | 11/17/2021 |
**Signature of Reporting Person | Date |
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