4//SEC Filing
WINOKUR HERBERT S JR 4
Accession 0001019056-04-000863
CIK 0001057693other
Filed
Jun 16, 8:00 PM ET
Accepted
Jun 17, 6:01 AM ET
Size
9.6 KB
Accession
0001019056-04-000863
Insider Transaction Report
Form 4
WINOKUR HERBERT S JR
Director10% Owner
Transactions
- Award
Options to purchase C1 A C. Stock, par value $0.01 per share
2004-06-15$7.24/sh+2,500$18,100→ 14,334 total(indirect: See Note)Exercise: $7.24From: 2005-06-15Exp: 2014-06-15→ Class A Common Stock (2,500 underlying) - Award
Class A Common Stock, par value $0.01 per share
2004-06-15$7.24/sh+2,500$18,100→ 4,949,400 total(indirect: See Note)
Footnotes (4)
- [F1]Grant of restricted stock. The shares will be forfeited if Mr. Winokur ceases to serve as a director of the issuer prior to June 15, 2005. Mr. Winokur holds such shares for the benefit of Capricorn Investors II, L.P. ("Capricorn II"). See Notes 2 and 4.
- [F2]Of such 4,949,400 shares, Mr. Winokur holds 26,428 shares directly and 1,835,951 shares through Capricorn Holdings, Inc., of which Mr. Winokur is the sole stockholder. The remaining 3,087,021 shares are held by Capricorn II. Such 4,949,400 shares excludes 5,000 restricted shares held directly by Mr. Winokur for the benefit of Capricorn II, for which the restrictions lapse as to 2,500 shares on July 15, 2005, as reported in Table I and Note 1, and as to the remaining 2,500 shares on June 3, 2006. 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 therein. See Note 4.
- [F3]Price shown is the exercise price of the granted options.
- [F4]All such options are beneficially owned by Capricorn II, of which options to purchase 11,834 shares are presently exercisable. 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.
Documents
Issuer
NATCO GROUP INC
CIK 0001057693
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001046322
Filing Metadata
- Form type
- 4
- Filed
- Jun 16, 8:00 PM ET
- Accepted
- Jun 17, 6:01 AM ET
- Size
- 9.6 KB