0001140361-17-041795.txt : 20171109 0001140361-17-041795.hdr.sgml : 20171109 20171109154223 ACCESSION NUMBER: 0001140361-17-041795 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171109 FILED AS OF DATE: 20171109 DATE AS OF CHANGE: 20171109 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: 001-35383 FILM NUMBER: 171190569 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 X0306 4 2017-11-09 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 2017-11-09 4 P 0 1300 25.75 A 28194 D Common Stock 2017-11-09 4 P 0 100 26.00 A 28294 D Common Stock 2017-11-09 4 J 0 399 A 28693 D Stock Appreciation Rights 19.10 2017-03-02 4 A 0 10000 0 A 2022-03-02 Common Stock 10000 10000 D 399 shares acquired at various prices for the period 1/1/2017 through 9/15/2017 under The Eastern Company Dividend Reinvestment Plan and The Eastern Company Employee Stock Purchase Plan. On March 2, 2017, 10,000 stock appreciation rights ("SARs") were granted to the reporting person pursuant to the terms of The Eastern Company 2010 Executive Stock Incentive Plan and a stock appreciation rights agreement, at an exercise price of $19.10 per SAR. These SARs shall vest and become exercisable as follows (provided the reporting person remains an employee of the issuer on each applicable vesting date, and the issuer meets certain performance thresholds prescribed in the stock appreciation rights agreement): 3,334 of the granted SARs vest on February 1, 2018; 3,333 of the granted SARs vest on February 1, 2019; and 3,333 of the granted SARs vest on February 1, 2020. /s/John L. Sullivan III 2017-11-09