4//SEC Filing
CARROLL AMELIA M 4
Accession 0001140361-05-000696
CIK 0000054681other
Filed
Jan 26, 7:00 PM ET
Accepted
Jan 27, 1:47 PM ET
Size
14.8 KB
Accession
0001140361-05-000696
Insider Transaction Report
Form 4
CARROLL AMELIA M
10% Owner
Transactions
- Sale
Common Stock
2005-01-12−12,400→ 169,839 total(indirect: By Spouse)
Holdings
- 804,635(indirect: See Notes)
Common Stock
- 26,000(indirect: See Note)
Common Stock
- 2,071,036(indirect: See Notes)
Common Stock
- 8,729
Common Stock
- 4,212(indirect: See Note)
Common Stock
- 27,000(indirect: See Note)
Options to purchase common stock
Exercise: $5.91From: 2004-05-27Exp: 2014-05-27→ Common Stock (2,000 underlying)
Footnotes (8)
- [F1]The Reporting Person or members of his immediate family are beneficiaries of the Wallace E. and Lelia H. Carroll Trust U/A Dated 5/1/58 F/B/O Wallace E. Carroll, Jr. and his descendants (the "WEC Jr. '58 Trust"), the Lelia H. Carroll Trust U/A Dated 7/12/62 F/B/O Wallace E. Carroll, Jr. (the "WEC Jr. '62 Trust) and the Family Grandchildren Trust U/A dated 9/29/90 F/B/O the descendents of Wallace E. Carroll, Jr. (the ?Family Trust?) (collectively, the ?WEC Trusts?). The WEC Jr. '58 Trust, the WEC Jr. '62 Trust and the Family Trust directly beneficially own 603,000, 194,693 and 6,942 shares of the Issuer's outstanding common stock, respectively, for an aggregate of 804,635 shares (the ?Trust Shares?). The Reporting Person may be deemed to have an indirect pecuniary interest in the Trust Shares to the extent that he and/or the members of his immediate family living in the same household are beneficiaries of the WEC Trusts.
- [F2]CRL, Inc. ("CRL") directly beneficially owns 2,072,236 shares of the Issuer's outstanding common stock (the ?CRL Shares?) after giving effect to the transaction reported herein. As stockholders of CRL, the WEC Jr. '58 Trust and the Reporting Person may be deemed to indirectly beneficially own such Shares. The Reporting Person may be deemed to have an indirect pecuniary interest in the shares indirectly beneficially owned by the WEC Jr. '58 Trust through CRL to the extent that he and/or the members of his immediate family living in the same household are beneficiaries of that trust and as a stockholder of CRL.
- [F3]Common stock is held by the Katy Industries, Inc. Directors? Deferred Compensation Plan in a Rabbi Trust arrangement. 2,106 shares are held for the benefit of the Reporting Person, and 2,106 shares are held for the benefit of his spouse.
- [F4]Members of the Reporting Person?s immediate family are beneficiaries of the WEC Trusts (see Note 1). The Reporting Person may be deemed to have an indirect pecuniary interest in the Trust Shares to the extent that members of her immediate family living in the same household are beneficiaries of the WEC Trusts.
- [F5]The Reporting Person may be deemed to have an indirect pecuniary interest in the CRL Shares to the extent that members of his immediate family living in the same household own CRL shares and are beneficiaries of the WEC Jr. '58 Trust (see Note 2).
- [F6]As a stockholder of CRL, the Reporting Person may be deemed to have an indirect pecuniary interest in the CRL Shares (see Note 2).
- [F7]The Reporting Person is trustee of trusts for Lelia Carroll and her descendents' benefit holding 26,000 shares in the aggregate.
- [F8]The exercisable date, conversion price and expiration date on the stock options represent information from the most recent grant, 6/12/03. The spouse of the Reporting Person has received stock options from 1995 through 2003 with conversion prices ranging from $3.11 through $18.125.
Documents
Issuer
KATY INDUSTRIES INC
CIK 0000054681
Entity typeother
Related Parties
1- filerCIK 0001192892
Filing Metadata
- Form type
- 4
- Filed
- Jan 26, 7:00 PM ET
- Accepted
- Jan 27, 1:47 PM ET
- Size
- 14.8 KB