JOY GLOBAL INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-30: Reporting owner Doheny Edward L II; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-29: Reporting owner Salditt Peter B; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-29: Reporting owner Salditt Peter B; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-29: Reporting owner Doheny Edward L II; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-30 | Doheny Edward L II Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −144,129 0 owned after | $12.19 exercise price | 2017-01-03 | |
| 2016-12-29 | Salditt Peter B Other (President Underground Segment) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,167 44,333 owned after | $12.19 exercise price | 2017-01-03 | |
| 2016-12-29 | Salditt Peter B Other (President Underground Segment) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,833 16,500 owned after | $12.19 exercise price | 2017-01-03 | |
| 2016-12-29 | Doheny Edward L II Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −129,000 258,000 owned after | $12.19 exercise price | 2017-01-03 | |
| 2016-12-29 | Doheny Edward L II Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −113,871 144,129 owned after | $12.19 exercise price | 2017-01-03 | |
| 2016-12-28 | Koetz John M Other (President Surface Segment) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,667 23,333 owned after | $12.19 exercise price | 2016-12-29 | |
| 2016-12-28 | Koetz John M Other (President Surface Segment) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,333 0 owned after | $12.19 exercise price | 2016-12-29 | |
| 2016-12-21 | Major Sean D Officer (EVP, GC and Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,421 51,200 owned after | $12.19 exercise price | 2016-12-22 | |
| 2016-12-20 | Major Sean D Officer (EVP, GC and Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −179 76,621 owned after | $12.19 exercise price | 2016-12-22 | |
| 2016-12-19 | Maritz Johannes S. Officer (EVP, HR) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,267 40,533 owned after | $12.19 exercise price | 2016-12-20 | |
| 2016-12-15 | SULLIVAN JAMES M Officer (EVP & CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −44,334 88,666 owned after | $12.19 exercise price | 2016-12-16 | |
| 2016-12-15 | SULLIVAN JAMES M Officer (EVP & CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −88,666 0 owned after | $12.19 exercise price | 2016-12-16 |