-----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, NBpUSbcg/jDwJFwIavdUsqn2dFwvF/LH1aqeB+pz6lPrrABoIFLFgfDeE2sZyQ3J 5BRZccHYYc+t/+JQJ41Trg== 0001140361-10-025812.txt : 20100617 0001140361-10-025812.hdr.sgml : 20100617 20100617140724 ACCESSION NUMBER: 0001140361-10-025812 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100615 FILED AS OF DATE: 20100617 DATE AS OF CHANGE: 20100617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SULLIVAN JOHN L III CENTRAL INDEX KEY: 0001187212 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00599 FILM NUMBER: 10902793 MAIL ADDRESS: STREET 1: 13 CEDAR DRIVE CITY: CROMWELL STATE: CT ZIP: 06416 ISSUER: 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 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 4 1 doc1.xml FORM 4 X0303 4 2010-06-15 0 0000031107 EASTERN CO EML 0001187212 SULLIVAN JOHN L III 112 BRIDGE STREET NAUGATUCK CT 06770 0 1 0 0 Vice President & CFO Common Stock 2010-06-15 4 F 0 18750 14.25 D 610 D Common Stock 2010-06-15 4 M 0 30000 9.50 A 30610 D Qualified employee stock option 9.50 2010-06-15 4 M 0 30000 0 D 2000-07-19 Common Stock 30000 0 D Qualified employee stock option 9.60 2001-04-26 4 A 0 0 0 A 2011-04-26 Common Stock 22500 22500 D 18,750 shares of previously acquired Eastern Company stock were surrendered to Eastern Treasury at the closing price on June 14, 2010 of $14.25 per share, for the purchase of stock options by Mr. Sullivan. 30,000 shares were exercised on June 15, 2010 at $9.50 per share by Mr. Sullivan. The original 7/19/2000 option was for 20,000 shares at $14.25 per share. 4,810 shares were vested on 1/1/2001; 7,017 shares were vested on 1/1/2002; 7,017 shares were vested on 1/1/2003 and the remaining 1,156 shares were vested on 1/1/2004. As a result of a 3-for-2 stock split effective 10/18/2006, this option is now 30,000 shares at $9.50 per share. The original 7/19/2000 option was for 20,000 shares at $14.25 per share. 4,810 shares were vested on 1/1/2001; 7,017 shares were vested on 1/1/2002; 7,017 shares were vested on 1/1/2003 and the remaining 1,156 shares were vested on 1/1/2004. As a result of a 3-for-2 stock split effective 10/18/2006, this option is now 30,000 shares at $9.50 per share. On June 15, 2010 30,000 shares were exercised at $9.50 per share, leaving a zero balance. The original 4/26/2001 option was for 15,000 shares at $14.40 per share. 5,800 shares were vested on 1/1/2004; 6,944 shares were vested on 1/1/2005; and the remaining 2,256 shares were vested on 1/1/2006. As a result of a 3-for-2 stock split effective 10/18/2006 this option is now for 22,500 shares at $9.60 per share. /s/John L. Sullivan III 2010-06-17 -----END PRIVACY-ENHANCED MESSAGE-----