SHAFFER JAMES W 4
4 · KATY INDUSTRIES INC · Filed Mar 16, 2010
Insider Transaction Report
Form 4
KATY INDUSTRIES INCKATY.OB
SHAFFER JAMES W
VP, Treasurer and CFO
Transactions
- Award
Stock Appreciation Rights
2010-03-12$1.60/sh+20,000$32,000→ 20,000 totalExercise: $1.60From: 2011-03-12Exp: 2020-03-12→ Common Stock (20,000 underlying)
Holdings
- 125,000
Option to purchase Common Stock
Exercise: $1.16From: 2009-10-27Exp: 2018-10-27→ Common Stock (125,000 underlying)
Footnotes (2)
- [F1]Stock options vest evenly over three years; 1/3 vest on 10/27/09, 1/3 vest on 10/27/10 and 1/3 vest on 10/27/11.
- [F2]Stock appreciation rights vest evenly over three years; 1/3 vest on 3/12/11, 1/3 vest on 3/12/12 and 1/3 vest on 3/12/13.