4//SEC Filing
WINOKUR HERBERT S JR 4
Accession 0001019056-06-000640
CIK 0001057693other
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 3:07 PM ET
Size
26.6 KB
Accession
0001019056-06-000640
Insider Transaction Report
Form 4
WINOKUR HERBERT S JR
Director10% Owner
Transactions
- Award
Class A Common Stock, par value $0.01 per share
2006-06-01$31.16/sh+2,500$77,900→ 28,928 total - Exercise/Conversion
Class A Common Stock, par value $0.01 per share
2006-06-02$6.80/sh+1,599$10,873→ 2,089,977 total(indirect: See Footnote) - Exercise/Conversion
Class A Common Stock, par value $0.01 per share
2006-06-02$6.80/sh+901$6,127→ 2,089,977 total(indirect: See Footnote) - Exercise/Conversion
Stock Option
2006-06-02−6,667→ 0 total(indirect: See Footnote)Exercise: $0.00From: 2001-01-01Exp: 2010-01-01→ Common Stock (6,667 underlying) - Exercise/Conversion
Stock Option
2006-06-02−1,599→ 0 total(indirect: See Footnote)Exercise: $0.00From: 2004-06-03Exp: 2013-06-03→ Common Stock (1,599 underlying) - Exercise/Conversion
Stock Option
2006-06-02−301→ 0 total(indirect: See Footnote)Exercise: $0.00From: 2004-06-03Exp: 2013-06-03→ Common Stock (301 underlying) - Exercise/Conversion
Class A Common Stock, par value $0.01 per share
2006-06-02$10.00/sh+6,667$66,670→ 2,089,977 total(indirect: See Footnote) - Exercise/Conversion
Class A Common Stock, par value $0.01 per share
2006-06-02$7.24/sh+2,500$18,100→ 2,089,977 total(indirect: See Footnote) - Exercise/Conversion
Class A Common Stock, par value $0.01 per share
2006-06-02$7.95/sh+2,667$21,203→ 2,089,977 total(indirect: See Footnote) - Exercise/Conversion
Stock Option
2006-06-02−2,500→ 0 total(indirect: See Footnote)Exercise: $0.00From: 2005-06-15Exp: 2014-06-15→ Common Stock (2,500 underlying) - Exercise/Conversion
Stock Option
2006-06-02−2,667→ 0 total(indirect: See Footnote)Exercise: $0.00From: 2002-08-06Exp: 2011-08-06→ Common Stock (2,667 underlying)
Footnotes (3)
- [F1]Represents an award of restricted stock pursuant to stockholder approved incentive compensation plan. Restrictions on the award lapse 100% after one year of service, or on June 1, 2007, or sooner, on the death, disability or retirement after age 68 of the recipient, or upon a corporate change. The stock was issued on June 1, 2006, and therefore has no expiration date, but could be forfeited if service ends prior to June 1, 2007, under certain circumstances.
- [F2]Represents the exercise by Capricorn Investors II, L.P. ("Capricorn") of a total of 14,334 options to purchase shares of NATCO Group ("Shares"). Mr. Winokur is the managing member of Capricorn Holdings, LLC ("Holdings, LLC"), the general partner of Capricorn.
- [F3]Mr. Winokur holds 28,928 Shares directly, and 1,835,951 shares indirectly through Capricorn Holdings, Inc. of which Mr. Winokur is the sole shareholder. Additionally, Winokur Family Investors, LLC, of which Mr. Winokur is a beneficial owner, directly owns 148,659 Shares. Holdings LLC, of which Winokur Family Investors LLC has an interest, owns 52,105 Shares. Capricorn owns 24, 334 Shares. Mr. Winokur is deemed beneficial owner of 2,089,977 Shares. Mr. Winokur disclaims pecuniary interest in 188,139 Shares.
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, 3:07 PM ET
- Size
- 26.6 KB