-----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, MqdML/+cNnU0aa0nUrCvr9I/HRW0HO5edH/uKLypPvk2SgHkwMCwdtjP8QMVXQOE h2O45GTWl04hgVoWkTzIcw== 0001140361-10-042579.txt : 20101028 0001140361-10-042579.hdr.sgml : 20101028 20101028174447 ACCESSION NUMBER: 0001140361-10-042579 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101028 FILED AS OF DATE: 20101028 DATE AS OF CHANGE: 20101028 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: 101149200 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 2010-10-28 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 2010-10-28 4 M 0 1000 9.60 A 31610 D Qualified employee stock option 9.60 2010-10-28 4 M 0 1000 0 D 2011-04-26 Common Stock 22500 21500 D 1,000 shares were exercised on October 28, 2010 at $9.60 per share by Mr. Sullivan. The original 4/26/2001 option was for 15,000 shares at $14.40 per share. 5,900 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. 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. On October 28, 2010 1,000 shares were exercised at $9.60 per share, leaving a balance of 21,500 shares. /s/John L. Sullivan III 2010-10-28 -----END PRIVACY-ENHANCED MESSAGE-----