CARROLL DANIEL B 4
4 · KATY INDUSTRIES INC · Filed May 26, 2011
Insider Transaction Report
Form 4
KATY INDUSTRIES INCKATY.OB
CARROLL DANIEL B
Director
Transactions
- Award
Stock Appreciation Right
2011-05-25$0.20/sh+2,000$400→ 12,000 totalExercise: $0.20From: 2011-05-25Exp: 2021-05-25→ Common Stock (2,000 underlying)
Holdings
- 6,000
Common Stock
- 17,000
Option to purchase Common Stock
Exercise: $3.69From: 2005-05-26Exp: 2015-05-26→ Common Stock (17,000 underlying)
Footnotes (2)
- [F1]The exercisable date, conversion price, and expiration date on the stock options represent information from the most recent grant, 5/26/05. The Reporting Person has received stock options from 2001 through 2005 with conversion prices ranging from $3.11 to $5.91.
- [F2]The exercisable date, conversion price, and expiration date on the stock appreciation rights represent information from the most recent grant, 5/25/11. The Reporting Person has received stock appreciation rights from 2006 through 2011 with conversion prices ranging from $0.20 to $2.08.