5 1 form5_carter1112.txt CARTER1112
-------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 5 WASHINGTON, D.C. 20549 OMB APPROVAL -------- ----------------------------- // CHECK BOX IF NO LONGER ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0362 SUBJECT TO SECTION 16. EXPIRES: JANUARY 31, 2005 FORM 4 OR FORM 5 OBLI- Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN GATIONS MAY CONTINUE. Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 1.0 SEE INSTRUCTION 1(b). Section 30(h) of the Investment Company Act of 1940 ----------------------------- // FORM 3 HOLDINGS REPORTED // FORM 4 TRANSACTIONS REPORTED ------------------------------------------------------------------------------------------------------------------------------------ 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) Woodward Governor Company WGOV Director 10% Owner Carter Stephen P. --- --- ------------------------------------------------------------------------------------------- X Officer (give Other (specify (Last) (First) (Middle) 3. IRS Identification 4. Statement for --- title below) --- below) Number of Reporting Month/Year Person, if an entity September 2002 Vice President, Chief (voluntary) Financial Officer and Treasurer 5001 N. Second Street -------------------------------------- ---------------------------------------------- -------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Reporting Date of Original (check applicable line) (Month/Year) X Form Filed by One Reporting Person --- Form Filed by More than One --- Reporting Person Rockford, IL 61111 ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 2A. Deemed 3. Transac- 4. Securities Acquired (A) or 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action Execution tion Disposed of (D) Securities ship Indirect Date Date, if Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial any (Instr. 8) Owned at Direct Ownership (Month/ (Month/ end of (D) or (Instr. 4) Day/ Day/ ------------------------------ Issuer's Indirect Year) Year) Amount (A) or Price Fiscal Year (I) (D) (Instr. 3 (Instr. 4) and 4) ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor Company Common Stock J* 2,530 D ------------------------------------------------------------------------------------------------------------------------------------ Woodward Governor Company Common Stock 09/30/02 09/30/02 A 2,807 I Stock Plan ------------------------------------------------------------------------------------------------------------------------------------ * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v).
TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 3A. Deemed 4. Trans- 5. Number of 6. Date Exer- Security sion of action Executition action Derivative cisable and (Instr. 3) Exercise Date Date, if Code Securities Ac- Expiration Price of (Month/ any (Month (Instr. 8) quired (A) or Date Deriv- Day/ Day/Year) Disposed of Month/Day/ ative Year) (D) Year) Security (Instr. 3, 4 and 5) ------------------- ----------------- (A) (D) Date Expir- Exer- ation 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 ----------------------------------------------------------------------------------------------------------------------------------- Nonqualified Stock Option (right to buy) 47.72 10/07/2002 10/06/2003 10/06/2012 ----------------------------------------------------------------------------------------------------------------------------------- Phantom Stock Units 1-for-1 11/08/2002 (1) (1) ----------------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Ownership 11. Nature lying Securities of of of of (Instr. 3 and 4) Derivative Derivative Derivative Indirect Security Securities Security: Beneficial (Instr. 5) Beneficially Direct Ownership Owned (D) or Ownership at End Indirect (Instr. 4) of Year (I) ------------------------------------ (Instr. 4) (Instr. 4) or Indirect Amount or Title Number of Shares ------------------------------------------------------------------------------------------------------ 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 10,000 114,210 D ------------------------------------------------------------------------------------------------------ Common Stock 21,582 135,792 ------------------------------------------------------------------------------------------------------
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/ Stephen P. Carter November 12, 2002 ----------------------------------- ----------------- **Signature of Reporting Person Date **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 provided is insufficient, SEE Instruction 6 for procedure.