0001140361-11-030044.txt : 20110526 0001140361-11-030044.hdr.sgml : 20110526 20110526153756 ACCESSION NUMBER: 0001140361-11-030044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110525 FILED AS OF DATE: 20110526 DATE AS OF CHANGE: 20110526 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BARATTA ROBERT M CENTRAL INDEX KEY: 0001194807 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05558 FILM NUMBER: 11873895 MAIL ADDRESS: STREET 1: C/O KATY INDUSTRIES INC STREET 2: 305 ROCK INDUSTRIAL PARK DRIVE CITY: BRIDGETON STATE: MO ZIP: 63044 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KATY INDUSTRIES INC CENTRAL INDEX KEY: 0000054681 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 751277589 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 305 ROCK INDUSTRIAL PARK DRIVE CITY: BRIDGETON STATE: MO ZIP: 63044 BUSINESS PHONE: 3146564321 MAIL ADDRESS: STREET 1: 305 ROCK INDUSTRIAL PARK DRIVE CITY: BRIDGETON STATE: MO ZIP: 63044 4 1 doc1.xml FORM 4 X0303 4 2011-05-25 0 0000054681 KATY INDUSTRIES INC KATY 0001194807 BARATTA ROBERT M 305 ROCK INDUSTRIAL PARK DRIVE BRIDGETON MO 63044 1 0 0 0 Common Stock 11935 D Stock Appreciation Right .20 2011-05-25 4 A 0 2000 .20 A 2011-05-25 2021-05-25 Common Stock 2000 20250 D Option to purchase Common Stock 3.69 2005-05-26 2015-05-26 Common Stock 8000 8000 D 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 2002 through 2005 with conversion prices ranging from $3.69 to $5.91. 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 2002 through 2011 with conversion prices ranging from $0.20 to $3.15. /s/ James W. Shaffer as attorney-in-fact for Robert M. Barratta 2011-05-26 EX-24.1 2 poa1.htm POWER OF ATTORNEY Unassociated Document
 

 
KATY INDUSTRIES, INC.
POWER OF ATTORNEY
 
Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned’s true and lawful attorney-in-fact to:

(1)
execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

(2)
do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Form 3, 4 and 5, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(3)
take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney–in–fact, may be of benefit to, in the best interest of or legally required by, the undersigned, it being understood that the documents executed by such attorney–in–fact, on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney–in–fact may approve in such attorney–in–fact’s discretion.

The undersigned hereby grants to each such attorney–in–fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney–in–fact, or such attorney–in–fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorneys–in–fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney–in–fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 23th day of June 2009.


/s/ Robert M. Baratta
Signature

6/23/09
Date

Robert M. Baratta
Print Name