JOY GLOBAL INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-04-07: Reporting owner Koetz John M; Form 4; Security Employee Stock Option (right to buy); Transaction Holding.
- 2017-04-05: Reporting owner SULLIVAN JAMES M; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-04-05: Reporting owner Salditt Peter B; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-04-05: Reporting owner Maritz Johannes S.; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-04-07 holding as of filing | Koetz John M Other (President Surface Segment) | 4 | Employee Stock Option (right to buy) Derivative · Direct | Holding | 0 owned after | no price filed | 2017-04-07 | |
| 2017-04-05 | SULLIVAN JAMES M Officer (EVP & CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −0 0 owned after | no price filed | 2017-04-07 | |
| 2017-04-05 | Salditt Peter B Other (President Underground Segment) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,500 0 owned after | $16.11 | 2017-04-07 | |
| 2017-04-05 | Maritz Johannes S. Officer (EVP, HR) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,533 0 owned after | $16.11 | 2017-04-07 | |
| 2017-04-05 | Major Sean D Officer (EVP, GC and Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −51,200 0 owned after | $16.11 | 2017-04-07 | |
| 2017-04-05 | Kulasa Matthew S Officer (VP, Controller and CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,333 0 owned after | $6.61 | 2017-04-07 | |
| 2017-04-05 | Kulasa Matthew S Officer (VP, Controller and CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,600 0 owned after | $16.11 | 2017-04-07 | |
| 2017-04-05 | Doheny Edward L II Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −0 0 owned after | no price filed | 2017-04-07 | |
| 2017-04-05 | Blom Douglas E Other (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,100 0 owned after | $16.11 | 2017-04-07 |