4//SEC Filing
SHAFFER JAMES W 4
Accession 0001140361-12-020054
CIK 0000054681other
Filed
Apr 10, 8:00 PM ET
Accepted
Apr 11, 12:28 PM ET
Size
7.7 KB
Accession
0001140361-12-020054
Insider Transaction Report
Form 4
KATY INDUSTRIES INCKATY.OB
SHAFFER JAMES W
VP, Treasurer and CFO
Transactions
- Disposition to Issuer
Option to purchase Common Stock
2011-03-28−125,000→ 0 totalExercise: $1.16From: 2009-10-27Exp: 2018-10-27→ Common Stock (125,000 underlying) - Disposition to Issuer
Stock Appreciation Rights
2011-03-28−20,000→ 0 totalExercise: $1.60From: 2011-03-12Exp: 2020-03-12→ Common Stock (20,000 underlying)
Footnotes (2)
- [F1]Stock options were cancelled by mutual agreement of the reporting person and Katy Industries, Inc. The reporting person became a participant in the Katy Industries, Inc. 2011 Change in Control Plan ("2011 CIC Plan") as consideration for the cancellation.
- [F2]Stock appreciation rights were cancelled by mutual agreement of the reporting person and Katy Industries, Inc. The reporting person became a participant in the 2011 CIC Plan as consideration for the cancellation.
Documents
Issuer
KATY INDUSTRIES INC
CIK 0000054681
Entity typeother
Related Parties
1- filerCIK 0001190585
Filing Metadata
- Form type
- 4
- Filed
- Apr 10, 8:00 PM ET
- Accepted
- Apr 11, 12:28 PM ET
- Size
- 7.7 KB