Initial Statement of Beneficial Ownership (3)
October 12 2021 - 10:52AM
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
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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
*
Baab Jason P |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/4/2021
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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, 1917 FOUR WHEEL DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Corp. Develop. & Strategy / |
(Street)
OSHKOSH, WI 54902
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 67.86 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options (2) | (3) | 11/19/2028 | Common Stock | 700 | $66.09 | D | |
Options (2) | (4) | 11/18/2029 | Common Stock | 1134 | $90.28 | D | |
Restricted Stock Units (5) | (6) | 11/19/2021 | Common Stock | 337.942 | $0 | D | |
Restricted Stock Units (5) | (7) | 11/18/2022 | Common Stock | 512.537 | $0 | D | |
Restricted Stock Units (5) | (8) | 12/16/2022 | Common Stock | 752.405 | $0 | D | |
Restricted Stock Units (5) | (9) | 11/16/2023 | Common Stock | 1588.393 | $0 | D | |
Explanation of Responses: |
(1) | All of the shares were acquired under the Oshkosh Corporation Employee Stock Purchase Plan. |
(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 11/19/2019. |
(4) | Options vest in one-third (1/3) annual increments commencing on 11/18/2020. |
(5) | Restricted Stock Unit Award granted pursuant to the Company's Stock Plan. |
(6) | Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/19/2019. |
(7) | Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 11/18/2020. |
(8) | Restricted Stock Unit Award vests in one-third (1/3) annual increments commencing on 12/16/2020. |
(9) | 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 |
Baab Jason P C/O OSHKOSH CORPORATION 1917 FOUR WHEEL DRIVE OSHKOSH, WI 54902 |
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| SVP, Corp. Develop. & Strategy |
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Signatures
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Jason P. Baab | | 10/12/2021 |
**Signature of Reporting Person | Date |
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