-----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, HDSaCGPtm3aiLb5uitETHREaaLboa6J6e12fj9FhBkDA9N/9JSMIgSmYSllnIEni ofDYDREdTkm0KcMo99qeeA== 0000108312-02-000045.txt : 20021008 0000108312-02-000045.hdr.sgml : 20021008 20021008153456 ACCESSION NUMBER: 0000108312-02-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021007 FILED AS OF DATE: 20021008 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HALBROOK JOHN A CENTRAL INDEX KEY: 0001113697 RELATIONSHIP: DIRECTOR 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 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: 02784144 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 4 1 form4_halbrook1007.txt HALBROOK1007 - ------ FORM 4 - ------ STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. SEE Instruction 1(b). 1. Name and Address of Reporting Person* --------------------------------------------------------------------------- (Last) Halbrook --------------------------------------------------------------------------- (First) John --------------------------------------------------------------------------- (Middle) A. --------------------------------------------------------------------------- (Street) 5001 N. Second Street --------------------------------------------------------------------------- (City) Rockford --------------------------------------------------------------------------- (State) IL --------------------------------------------------------------------------- (Zip) 61111 --------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol --------------------------------------------------------------------------- (Issuer Name) Woodward Governor Company --------------------------------------------------------------------------- (Ticker or Trading Symbol) WGOV --------------------------------------------------------------------------- 3. I.R.S. or Social Security Number of Reporting Person (Voluntary) --------------------------------------------------------------------------- (I.D. Number) --------------------------------------------------------------------------- 4. Statement for Month/Day/Year --------------------------------------------------------------------------- (Month/Day) October 7 --------------------------------------------------------------------------- (Year) 2002 --------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Day/Year) --------------------------------------------------------------------------- (Month/Day) --------------------------------------------------------------------------- (Year) --------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) /X/ --------------------------------------------------------------------------- /X/ (Director) --------------------------------------------------------------------------- /X/ (Officer, give title below) --------------------------------------------------------------------------- Chairman, Chief Executive Officer and President --------------------------------------------------------------------------- (10% Owner) --------------------------------------------------------------------------- (Other, specify below) --------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) /X/ --------------------------------------------------------------------------- /X/ Form filed by One Reporting Person --------------------------------------------------------------------------- Form filed by More than One Reporting Person --------------------------------------------------------------------------- - -------------------------------------------------------------------------------- TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - --------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Transac- 2A. Deemed 3. Transaction 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature of (Instr. 3) tion Date Execution Code (Instr. 8) (A) or Disposed of (D) Securities ship Form: Indirect (Month/ (Instr. 3, 4, and 5) Beneficially Direct (D) Beneficial - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Date/Year) Date if Owned or Indirect Ownership any Code V Amount (A) or Price Following (I) (Instr. 4) (Month/Day/ (D) Reported (Instr. 4) Year) Transaction(s) (Instr. 3 & 4) - ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor 8,650 D Company Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor 5,032 I Stock Plan Company Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor 1,290 I IRA Company Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------- TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - --------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 2. 3. 1. Title of Conversion Transaction 3A. Deemed 5. Number of Derivative Derivative or Exercise Date Execution 4. Transaction Code Securities Acquired (A) or 6. Date Exercisable and Security Price of (Month/Day/ Date, if any (Instr. 8) Disposed of (D) (Instr. 3, Expiration Date (Instr. 3) Derivative Year) (Month/Day/ 4, and 5) (Month/Day/Year) Security Year) ---------------------------------------------------------------------------------- Code V (A) (D) Date Exercisable Expiration Date - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $16.625 01/10/1996 11/18/1996 01/17/2006 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $23.50 11/18/1996 11/18/1996 11/17/2006 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $32.25 11/17/1997 11/17/1997 11/16/2007 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $32.00 01/14/1998 01/14/1998 01/13/2008 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $22.00 11/16/1998 11/16/1998 11/15/2008 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $24.75 11/16/1999 11/15/2000 11/15/2009 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $41.813 11/21/2000 11/20/2001 11/20/2010 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $49.00 10/01/2001 09/30/2002 09/30/2011 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom 1-for-1 11/23/2001 (1) (1) Stock Units - ------------------------------------------------------------------------------------------------------------------------------------ Nonqualified $47.72 10/07/2002 10/07/2002 A 25,000 10/06/2003 10/06/2012 Stock Option (right to buy) - ------------------------------------------------------------------------------------------------------------------------------------
- -------------------------------------------------------------------------------- TABLE II CONTINUED - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - --------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 7. Title and Amount of Underlying Securities 10. Ownership (Instr. 3 and 4) 9. Number of Derivative Form of Derivative - -------------------------------------------- 8. Price of Securities Beneficially Securities Amount or Derivative Owned Following Beneficially Owned 11. Nature of Indirect Number of Security Reported Transaction(s) at End of Month Beneficial Ownership Title Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 30,960(a) 30,960 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 53,600(b) 84,560 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 57,794(b) 142,354 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 21,721(b) 164,075 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 50,000(b) 214,075 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 35,000(b)(c) 249,075 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 40,000(b)(c) 289,075 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 50,000(b)(c) 339,075 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 86,725 $49.06 425,800 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 25,000 450,800 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. /s/ John A. Halbrook October 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 one reporting person, SEE Instruction 4(b)(v). ** Intentional misstatement 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. -----END PRIVACY-ENHANCED MESSAGE-----