-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HYEtgc45sG6XPz4mvF/IThEwDkJTpbF8RFwcBThLclkzJdg9dN0sienM9d2MKie9 3GW4zjlON/ka/d2gKMLxsQ== 0000108312-01-500054.txt : 20020410 0000108312-01-500054.hdr.sgml : 20020410 ACCESSION NUMBER: 0000108312-01-500054 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011113 COMPANY DATA: COMPANY CONFORMED NAME: TURNER C PHILLIP CENTRAL INDEX KEY: 0001113707 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 5001 NORTH SECOND STREET CITY: ROCKFORD STATE: IL ZIP: 61111 MAIL ADDRESS: STREET 1: 5001 NORTH SECOND STREET CITY: ROCKFORD STATE: IL ZIP: 61111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WOODWARD GOVERNOR CO CENTRAL INDEX KEY: 0000108312 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRICAL INDUSTRIAL APPARATUS [3620] IRS NUMBER: 361984010 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08408 FILM NUMBER: 1784682 BUSINESS ADDRESS: STREET 1: 5001 N SECOND ST STREET 2: P O BOX 7001 CITY: ROCKFORD STATE: IL ZIP: 61125-7001 BUSINESS PHONE: 8158777441 MAIL ADDRESS: STREET 1: 5001 N SECOND ST STREET 2: PO BOX 7001 CITY: ROCKFORD STATE: IL ZIP: 61125-7001 5 1 form5_turner.txt FORM5_TURNER
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 5 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0362 LONGER SUBJECT TO EXPIRES: DECEMBER 31, 2001 SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 1.0 CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940 ----------------------------- INSTRUCTION 1(b). (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner Turner C. Phillip Woodward Governor Company WGOV ---- --- - --------------------------------------------------------------------------------------------- X Officer (give Other (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- title --- (specify Number of Reporting Month/Year below) below) Person, if an entity September 2001 Vice President (voluntary) 5001 North Second Street - -------------------------------------------- ------------------- ---------------------- ------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Year) X Form filed by One Reporting Person --- Form filed by More than One --- Rockford IL 61125-7001 Reporting Person ---------------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 8) Owned at Direct Bene- (Month/ End of (D) or ficial Day/ ------------------------------------------- Month Indirect Owner- Year) (A) or (I) ship Code V Amount (D) Price (Instr. 3 (Instr. 4) (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor Company 12,000 D Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor Company 20,456 I Stock Plan Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the Form is filed by more than one reporting person, SEE Instruction 4(b)(v).
FORM 5 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ posed of (D) (Month/Day/ Deriv- Day/ (Instr. 3, 4, and 5) Year) ative Year) Security ----------------------- Date Expira- ----------------------------------- Exer- tion cisable Date Code V (A) (D) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $16.625 01/10/1996 11/18/1996 01/17/2006 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $23.50 11/18/1996 11/18/1996 11/17/2006 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $32.25 11/17/1996 11/17/1997 11/16/2007 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $32.00 01/14/1998 01/14/1998 01/13/2008 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $22.00 11/16/1998 11/16/1998 11/15/2008 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $24.75 11/16/1999 11/15/2000(b) 11/15/2009 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $22.00 03/21/2000 M 4,000 11/16/1998 11/15/2008 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Nonqualified Stock Option $41.813 11/21/2000 11/20/2001(b) 11/20/2010 (right to buy) - ------------------------------------------------------------------------------------------------------------------------ Phantom Stock Units 1-for-1 11/21/2000 (1) (1) - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Nature lying Securities of of Deriv- ship of In- (Instr. 3 and 4) Deriv- ative Form direct ative Securi- of De- Bene- Secur- ties rivative ficial ity Bene- Secu- Own- (Instr. ficially rities ership 5) Owned Beneficially (Instr. 4) at End Owned at Amount or of End of Title Number of Month Month Shares (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------ Common Stock 9,980(a) 9,980 D - ------------------------------------------------------------------------------------------ Common Stock 17,600(b) 27,580 D - ------------------------------------------------------------------------------------------ Common Stock 18,046(a) 45,626 D - ------------------------------------------------------------------------------------------ Common Stock 6,782(a) 52,408 D - ------------------------------------------------------------------------------------------ Common Stock 20,000(a) 72,408 D - ------------------------------------------------------------------------------------------ Common Stock 15,000(a) 87,408 D - ------------------------------------------------------------------------------------------ Common Stock 83,408 D - ------------------------------------------------------------------------------------------ Common Stock 5,000(a) 88,408 D - ------------------------------------------------------------------------------------------ Common Stock 6,028 94,436 D - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (a) Grant to reporting person of option to buy shares of common stock under the Woodward Governor Company 1996 Long-Term Incentive Compensation Plan is an exempt transaction under Rule 16b-3. (b) Shares become exercisable at the rate of 25% per year beginning one year from date of grant. (1) The phantom stock units were accrued under the Woodward Governor Company Unfunded Deferred Compensation Plan No. 2 and are to be settled in 100% cash upon separation from the Company. C. Phillip Turner November 9, 2001 ------------------------------- ---------------- **Intentional misstatements or omissions of facts constitute **Signature of Reporting Person Date beneficially owned directly or indirectly. Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure.
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