-----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, QGq/E+gucMKjzkEEAh+rB29pAzk2spoIplkz4K1unAurbqLz3bMUCYbQsyUEmf+E jjvX/9RBQHW7h7Iyl39jVA== 0001140361-10-047610.txt : 20101201 0001140361-10-047610.hdr.sgml : 20101201 20101201154259 ACCESSION NUMBER: 0001140361-10-047610 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101129 FILED AS OF DATE: 20101201 DATE AS OF CHANGE: 20101201 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: 101224815 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 2010-11-29 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 2010-11-29 4 S 0 76 18.0101 D 34534 D Common Stock 2010-11-29 4 S 0 3924 18.00 D 30610 D Common Stock 2010-12-01 4 M 0 7500 9.60 A 38110 D Qualified employee stock option 9.60 2010-12-01 4 M 0 7500 0 D 2011-04-26 Common Stock 15500 8000 D On November 29, 2010, 76 shares sold on the open market for $18.0101 per share. On November 29, 2010, 3,924 shares sold on the open market for $18.00 per share. 7,500 shares were exercised on December 1, 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. 5,800 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. 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, on November 4, 2010 2,000 shares were exercised, on November 9, 2010 4,000 shares were exercised and on December 1, 2010 7,500 shares were exercised at $9.60 per share, leaving a balance of 8,000 shares. /s/John L. Sullivan III 2010-12-01 -----END PRIVACY-ENHANCED MESSAGE-----