KATY INDUSTRIES INC 4
4 · KATY INDUSTRIES INC · Filed May 28, 2004
Insider Transaction Report
Form 4
BARATTA ROBERT M
Director
Transactions
- Award
Common Stock
2004-05-27$5.91/sh+500$2,955→ 20,736 total - Award
Options to purchase common stock
2004-05-27$5.91/sh+2,000$11,820→ 47,500 totalExercise: $5.91From: 2004-05-27Exp: 2014-05-27→ Common Stock (2,000 underlying)
Holdings
- 20,750
Stock Appreciation Rights
Exercise: $3.11From: 2002-11-25Exp: 2012-11-25→ Common Stock (20,750 underlying)
Footnotes (1)
- [F1]In his previous Form 4 filing on 06/16/03, Mr. Baratta claimed beneficial ownership of 3936 shares of common stock held indirectly through a rabbi trust as part of Katy's Supplemental Retirement Plan. During 2004, Mr. Baratta withdrew 3936 shares as part of the normal post-retirement liquidation of the deferred compensation account. As such, his indirect ownership of Katy common stock has been decreased by 3936 shares, and his direct ownership has increased by 3936 shares.