4//SEC Filing
WINOKUR HERBERT S JR 4
Accession 0001019056-03-000503
CIK 0001057693other
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 10:49 AM ET
Size
7.7 KB
Accession
0001019056-03-000503
Insider Transaction Report
Form 4
No transactions or holdings reported in this filing.
Footnotes (5)
- [F1]Grant of 2,500 restricted shares. The grant vests three years from its date, and will be forfeited if Mr. Winokur ceases to serve as a director of the issuer before that date. Record ownership of the 2,500 restricted shares may not be transferred until vested. The beneficial interest in such shares is held by Capricorn Investors II, L.P. ("Capricorn II"), which is also the beneficial owner of 3,087,021 additional shares. Mr. Winokur is the managing member of Capricorn Holdings, LLC, the general partner of Capricorn II and, as such, may be deemed to have both voting and investment power over such shares. Mr. Winokur may be deemed to have a pecuniary interest in Capricorn II's shares through his membership interest in Winokur Family Investors LLC, which is a limited partner of Capricorn II and a member of Capricorn Holdings LLC. For purposes of Section 16(b) of the Exchange Act, Mr. Winokur disclaims beneficial ownership of Capricorn II's shares in excess of his pecuniary interest.
- [F2]Such amount is the fair market value of the common stock on the grant date.
- [F3]The remaining 1,862,379 shares beneficially owned by Mr. Winokur are held as follows: (i) 500,000 shares are owned by the Winokur 2003 Gift Trust dated April 1, 2003 (the "Trust"). Mr. Winokur is the trustee of the Trust and retains dispositive power over Trust assets, including such shares. Mrs. Deanne Winokur, Mr. Winokur's wife, is the Special Trustee of the Trust with respect to the shares of NATCO Group Inc. held by the Trust and has voting power over such shares. (ii) 1,335,951 shares are owned directly by Capricorn Holdings, Inc., of which Mr. Winokur is the sole stockholder. (iii) 26,428 shares are owned directly by Mr. Winokur.
- [F4]The acquired options reported in this table do not become exercisable until one year from the grant date, at which time all such options will be exercisable.
- [F5]Options beneficially owned by Capricorn II, of which 8,536 options are presently exercisable.
Documents
Issuer
NATCO GROUP INC
CIK 0001057693
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001046322
Filing Metadata
- Form type
- 4
- Filed
- Jun 4, 8:00 PM ET
- Accepted
- Jun 5, 10:49 AM ET
- Size
- 7.7 KB