0001567619-19-018033.txt : 20190909 0001567619-19-018033.hdr.sgml : 20190909 20190909122729 ACCESSION NUMBER: 0001567619-19-018033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190905 FILED AS OF DATE: 20190909 DATE AS OF CHANGE: 20190909 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vlak August M. CENTRAL INDEX KEY: 0001663158 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35383 FILM NUMBER: 191082470 MAIL ADDRESS: STREET 1: 112 BRIDGE STREET CITY: NAUGATUCK STATE: CT ZIP: 06770 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: 1228 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 2019-09-05 0 0000031107 EASTERN CO EML 0001663158 Vlak August M. 112 BRIDGE STREET NAUGATUCK CT 06770 0 1 0 0 President & CEO Common Stock 2019-09-05 4 A 0 352 A 11368 D Common Stock 2019-09-05 4 P 0 3717 24.50 A 15085 D Common Stock 2019-09-06 4 P 0 2000 24.50 A 17085 D Stock Appreciation Rights 19.10 2017-03-02 4 A 0 20000 0 A 2022-03-02 Common Stock 20000 20000 D Stock Appreciation Rights 24.90 2018-02-07 4 A 0 20000 0 A 2023-02-08 Common Stock 20000 20000 D 352 shares acquired at various prices for the period 1/1/2019 through 9/5/2019 under The Eastern Company Dividend Investment Plan and The Eastern Company Employee Stock Purchase Plan. On March 2, 2017, 20,000 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): 6,667 of the granted SARs vest on February 1, 2018; 6,667 of the granted SARs vest on February 1, 2019; and 6,666 of the granted SARs vest on February 1, 2020. On February 7, 2018, 20,000 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 $24.90 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): 20,000 of the granted SARs vest on February 7, 2021. /s/August M. Vlak 2019-09-09