-----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, JV4RcVXG6KUWh59Ltol3egGEcXLkzQtz2p3FHtASscUHH//Z4HfSY9r3JqLYf8mI VV3kK90ih9sUwHX2MoGhgA== 0000108312-02-000031.txt : 20020808 0000108312-02-000031.hdr.sgml : 20020808 20020808105030 ACCESSION NUMBER: 0000108312-02-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020731 FILED AS OF DATE: 20020808 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08408 FILM NUMBER: 02722408 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 COMPANY DATA: COMPANY CONFORMED NAME: CARTER STEPHEN P CENTRAL INDEX KEY: 0001113703 OFFICER FILING VALUES: FORM TYPE: 4 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 4 1 form4_carter07.txt CARTER_JULY02
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO EXPIRES: January 31, 2005 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 .... 0.5 CONTINUE. SEE Section 30(h) 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 Carter, Stephen P. Woodward Governor Company WGOV ---- ---- - --------------------------------------------------------------------------------------------- X Officer (give Other (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- title ---- (specify Number of Reporting Month/Year below) below) Person (Voluntary) Vice President, Chief Financial Officer and Treasurer ------------------------------------- 5001 North Second Street July 2002 - -------------------------------------------- --------------------- 7. Individual or Joint/Group Filing (Street) 5. If Amendment, (Check Applicable Line) Date of Original X Form filed by One Reporting Person --- (Month/Year) ___Form filed by More than One Rockford, IL 61111 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 Common Stock 07/25/02 P(*) 97 A $51.20 2,353 D - ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor Company Common Stock 2,534 I Stock Plan - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ (*) Purchase pursuant to an established Rule 10b5-1 Plan--Officer Stock Purchase - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
FORM 4 (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- Code V (A) (D) Exer- tion cisable Date - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $16.625 01/10/1996 11/18/1996 01/17/2006 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $23.50 11/18/1996 11/18/1996 11/17/2006 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $32.25 11/17/1997 11/17/1997 11/16/2007 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $32.00 01/14/1998 01/14/1998 01/13/2008 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $22.00 11/16/1998 11/16/1998 11/15/2008 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $24.75 11/16/1999 11/15/2000 11/15/2009 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $41.813 11/21/2000 11/20/2001 11/20/2010 - -------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) $49.00 10/01/2001 09/30/2002 09/30/2011 - -------------------------------------------------------------------------------------------------------------------------- Phantom Stock Units 1-for-1 11/23/2001 (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 Bene- (Instr. 4) at End ficially Amount or of Owned at Title Number of Month End of Month Shares (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------ Common Stock 3,000(a) 3,000 D - ------------------------------------------------------------------------------------------ Common Stock 17,600(b) 20,600 D - ------------------------------------------------------------------------------------------ Common Stock 20,068(b) 40,668 D - ------------------------------------------------------------------------------------------ Common Stock 7,542(b) 48,210 D - ------------------------------------------------------------------------------------------ Common Stock 18,000(b) 66,210 D - ------------------------------------------------------------------------------------------ Common Stock 13,000(b)(c) 79,210 D - ------------------------------------------------------------------------------------------ Common Stock 10,000(b)(c) 89,210 D - ------------------------------------------------------------------------------------------ Common Stock 15,000(b)(c) 104,210 D - ------------------------------------------------------------------------------------------ Common Stock 21,380 $49.06 125,590 D - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (a) Stock options originally granted on January 17, 1996 under the Woodward Governor Company 1996 Long-Term Incentive Compensation Plan remaining upon partial attainment of performance goals for Fiscal Year 1996. (b) 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. (c) 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. Stephen P. Carter July 7, 2002 ----------------------------------- ----------- **Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than on reporting person, SEE Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. Page 2 SEC 1472 (02-02)
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