-----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, UVnErETeOXdRBNZWTSQNykxZiVO3p8CU7tQtxedkAO6VjDZRvDic7h77Mft+zyzu ToKv3O/Htr/Zw+MeD+62Lg== 0000031107-07-000073.txt : 20070525 0000031107-07-000073.hdr.sgml : 20070525 20070525133914 ACCESSION NUMBER: 0000031107-07-000073 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070525 DATE AS OF CHANGE: 20070525 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EASTERN CO CENTRAL INDEX KEY: 0000031107 STANDARD INDUSTRIAL CLASSIFICATION: CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420] IRS NUMBER: 060330020 STATE OF INCORPORATION: CT FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 000-00599 FILM NUMBER: 07879873 BUSINESS ADDRESS: STREET 1: 112 BRIDGE ST STREET 2: P O BOX 460 CITY: NAUGATUCK STATE: CT ZIP: 06770 BUSINESS PHONE: 2037292255 MAIL ADDRESS: STREET 1: 112 BRIDGE STREET STREET 2: P O BOX 460 CITY: NAUGATUCK STATE: CT ZIP: 06770 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: EASTERN CO CENTRAL INDEX KEY: 0000031107 STANDARD INDUSTRIAL CLASSIFICATION: CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420] RELATIONSHIP: OTHER IRS NUMBER: 060330020 STATE OF INCORPORATION: CT FISCAL YEAR END: 0102 FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 112 BRIDGE ST STREET 2: P O BOX 460 CITY: NAUGATUCK STATE: CT ZIP: 06770 BUSINESS PHONE: 2037292255 MAIL ADDRESS: STREET 1: 112 BRIDGE STREET STREET 2: P O BOX 460 CITY: NAUGATUCK STATE: CT ZIP: 06770 144 1 form144may25_07.txt FORM 144 MAY 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker - -------------------------------------------------------------------------------- 1(a) NAME OF ISSUER (Please type or print) The Eastern Company - -------------------------------------------------------------------------------- 1(b) IRS IDENT. NO. (c) SEC FILE NO. 06-0330020 0-599 - -------------------------------------------------------------------------------- 1(d) ADDRESS OF ISSUER STREET 112 Bridge Street - -------------------------------------------------------------------------------- 1(d) CITY STATE ZIP CODE Naugatuck, CT 06770 - -------------------------------------------------------------------------------- 1(e) TELEPHONE AREA CODE NUMBER 203 729-2255 - -------------------------------------------------------------------------------- 2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD Salaried Employees Retirement Plan of The Eastern Company Trust - -------------------------------------------------------------------------------- 2(b) IRS IDENT. NO. (c) RELATIONSHIP TO ISSUER 04-3581074 Employee Benefit Plans of Issuer - -------------------------------------------------------------------------------- 2(d) ADDRESS STREET 112 Bridge Street - -------------------------------------------------------------------------------- 2(d) CITY STATE ZIP CODE Naugatuck CT 06770 - -------------------------------------------------------------------------------- INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the SEC File Number.
SEC USE 3 (a) (b) SEC USE (c ) (d) (e) (f) (g) Title of Name and Address of Each ONLY Number of Aggregate Number of Approximate Name of Each the Class Broker Through Whom the Broker- Shares or Market Shares or Date of Sale Securities of Securities are to be Dealer Other Units Value Other Units (See instr. Exchange Securities Offered to Each Market File to be Sold Outstanding 3(f)) to Maker who is Number (See instr. (See instr. (See instr. (MO. DAY YR.) (See instr. be Sold Acquiring the Securities 3 (c )) 3(d)) 3(e)) 3(g)) - ---------- ------------------------ ------ ------------- ---------- ----------- ------------ ------------- Common Morgan Stanley. 50,223 1,456,467 5,578,521 05/24/07 American Stock 1585 Broadway, 30th Floor Stock New York, NY 10036 Exchange
INSTRUCTIONS: 1.(a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2.(a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3.(a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debit securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. TABLE I - SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Nature of Name of Person from Whom Amount of Title of Date you Acquisition Acquired (If gift, Securities Date of Nature of the Class Acquired Transaction also give date donor acquired) Acquired Payment Payment - --------- -------- ----------- ------------------------------ -------- ------- ------- Common 6/4/1975 Open Market Open Market Transaction 21,131 shares June 1975 Cash at time Stock to Transaction to Dec 1983 of purchase 12/8/1983 Common 10/1/1996 Merger of Plan The Eastern Company Pension Plan 29,092 shares 10/1/1996 Merger Stock Assets for Hourly Rated Employees of the Alloy Foundries Division Shares were originally acquired on the open market during the period June 4, 1975 - December 8, 1983
INSTRUCTIONS: If the securities were purchased and full payment therefore was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Amount of Name and Address of Seller Title of Securities Sold Date of Sale Securities Sold Gross Proceeds - -------------------------- ------------------------- ------------ --------------- -------------- The Salaried Employees The Eastern Company 3/6/2007 20,300 Shares $ 537,623 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/7/2007 4,200 Shares $ 111,569 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/8/2007 3,100 Shares $ 82,071 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/9/2007 2,500 Shares $ 66,373 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/12/2007 16,200 Shares $ 452,224 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/13/2007 41,000 Shares $ 1,150,721 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/14/2007 3,100 Shares $ 85,885 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/15/2007 200 Shares $ 5,505 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/23/2007 4,400 Shares $ 121,506 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/26/2007 3,700 Shares $ 102,754 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/27/2007 300 Shares $ 8,256 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/28/2007 1,900 Shares $ 52,281 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/29/2007 800 Shares $ 21,999 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 3/30/2007 1,400 Shares $ 38,461 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 4/03/2007 8,000 Shares $ 220,738 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 4/04/2007 5,123 Shares $ 141,930 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 4/05/2007 3,977 Shares $ 110,189 Retirement Plan of the Common Stock Eastern Company Trust The Salaried Employees The Eastern Company 4/09/2007 3,000 Shares $ 83,202 Retirement Plan of the Common Stock Eastern Company Trust The Eastern Company Pension The Eastern Company 5/08/2007 500 Shares $ 13,745 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/10/2007 583 Shares $ 16,053 Plan for Hourly-Rated t Common Stock Employees Trus The Eastern Company Pension The Eastern Company 5/11/2007 22,255 Shares $ 613,278 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/14/2007 6,000 Shares $ 166,275 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/15/2007 6,100 Shares $ 167,811 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/16/2007 4,000 Shares $ 110,014 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/17/2007 74 Shares $ 2,033 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/18/2007 826 Shares $ 22,802 Plan for Hourly-Rated Common Stock Employees Trust The Eastern Company Pension The Eastern Company 5/21/2007 8,600 Shares $ 236,732 Plan for Hourly-Rated Common Stock Employees Trust
REMARKS: None INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. ATTENTION: The person for whose account the securities to which this notice relates are to sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which have not been publicly disclosed. 5/25/07 /s/Leonard F. Leganza ------- --------------------- (DATE OF NOTICE) (SIGNATURE) The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----