-----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, J/Kf9Islgkno79p+tBiWJa26n3/nq4WA0VbXiW1S/Hhz7p2whdnokTZMIZPjRIFf 3Seiy+GASUtKyg7WjMGbwA== 0001140361-11-003126.txt : 20110118 0001140361-11-003126.hdr.sgml : 20110117 20110118114712 ACCESSION NUMBER: 0001140361-11-003126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110113 FILED AS OF DATE: 20110118 DATE AS OF CHANGE: 20110118 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: 11532377 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 2011-01-13 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 2011-01-13 4 S 0 310 18.00 D 34563 D Common Stock 2011-01-14 4 S 0 753 18.00 D 33810 D Qualified employee stock option 9.60 2001-04-26 4 A 0 0 0 A 2011-04-26 Common Stock 4000 4000 D On January 13, 2011, 310 shares sold on the open market for $18.00 per share. On January 14, 2011, 753 shares sold on the open market for $18.00 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, on December 1, 2010 7,500 shares were exercised and on January 3, 2011 4,000 shares were exercised at $9.60 per share, leaving a balance of 4,000 shares. /s/John L. Sullivan III 2011-01-17 -----END PRIVACY-ENHANCED MESSAGE-----