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ENERPAC TOOL GROUP CORP — Director's Dealing 2017
Jan 10, 2017
31611_dirs_2017-01-10_7f14ae2e-aab1-44a4-9c01-d3704f01e0cf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ACTUANT CORP (ATU)
CIK: 0000006955
Period of Report: 2017-01-06
Reporting Person: Wozniak Ted (VP Business Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-06 | Class A Common Stock | M | 8000 | $23.64 | Acquired | 90220 | Direct |
| 2017-01-06 | Class A Common Stock | S | 8000 | $26.64 | Disposed | 82220 | Direct |
| 2017-01-09 | Class A Common Stock | M | 3500 | $23.64 | Acquired | 85720 | Direct |
| 2017-01-09 | Class A Common Stock | S | 3500 | $26.10 | Disposed | 82220 | Direct |
| 2017-01-10 | Class A Common Stock | M | 3500 | $23.64 | Acquired | 85720 | Direct |
| 2017-01-10 | Class A Common Stock | S | 3500 | $26.51 | Disposed | 82220 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-01-06 | Employee Stock Option (right to buy) | $23.64 | M | 8000 | Disposed | 2017-01-16 | Class A Common Stock (8000) | Direct |
| 2017-01-09 | Employee Stock Option (right to buy) | $23.64 | M | 3500 | Disposed | 2017-01-16 | Class A Common Stock (3500) | Direct |
| 2017-01-10 | Employee Stock Option (right to buy) | $23.64 | M | 3500 | Disposed | 2017-01-16 | Class A Common Stock (3500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 5262 | Indirect |
| Class A Common Stock | 15692 | Indirect |
Footnotes
F1: The price in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $26.60 to $26.70. The undersigned undertakes to provide Actuant Corporation ("Actuant"), any security holder of Actuant or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.
F2: The price in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $26.10 to $26.13. The undersigned undertakes to provide Actuant, any security holder of Actuant or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.
F3: The price in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $26.50 to $26.53. The undersigned undertakes to provide Actuant, any security holder of Actuant or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.
F4: Represents the best estimate of the number of share equivalents held by the reporting person in the unitized stock fund of the Actuant 401(k) Plan. The unitized stock fund consists of stock of Actuant and cash and other short term investments. The number of Actuant share equivalents fluctuates depending on the ratio of the number of shares of stock of Actuant in the fund to other investments.
F5: Best estimate of shares held pursuant to the Actuant Corporation Deferred Compensation Plan.
F6: Option granted under the Actuant Corporation 2002 Stock Option Plan.
F7: Fifty percent of the option became exercisable on 01/16/2010, and the balance became exercisable on 01/16/2012.