0001654954-21-006066.txt : 20210520 0001654954-21-006066.hdr.sgml : 20210520 20210520090015 ACCESSION NUMBER: 0001654954-21-006066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210204 FILED AS OF DATE: 20210520 DATE AS OF CHANGE: 20210520 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: 21942464 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: 0101 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 section16.xml PRIMARY DOCUMENT X0306 4 2021-02-04 false 0000031107 EASTERN CO EML 0001187212 SULLIVAN JOHN L III 112 BRIDGE STREET NAUGATUCK CT 06770 false true false false Vice President & CFO Class A Common Stock 2021-02-04 4 L false 8 24.51 A 31097 D Class A Common Stock 2021-03-05 4 L false 7 26.82 A 31104 D Class A Common Stock 2021-03-15 5 P false 104 26.51 A 31208 D Class A Common Stock 2021-04-06 4 L false 9 27.51 A 31217 D Class A Common Stock 2021-05-05 4 L false 7 29.29 A 31224 D Class A Common Stock 2021-05-10 4 M false 8333 19.10 A 39557 D Class A Common Stock 2021-05-10 4 D false 5100 31.21 D 34457 D Stock Appreciation Rights 19.10 2021-05-10 4 M false 8333 0 D 2020-02-01 2022-03-02 Common Stock 8333 0 D Stock Appreciation Rights 24.90 2021-04-27 4 A false 10000 0 A 2021-02-01 2023-02-07 Common Stock 10000 10000 D Represents shares acquired by the reporting person under The Eastern Company Investors Choice Dividend Reinvestment and Direct Stock Purchase Sale Plan that are eligible for deferred reporting pursuant to Rule 16a-6 under the Securities Exchange Act of 1934, as amended. Represents shares acquired by the reporting person through the reinvestment of dividends under The Eastern Company Investors Choice Dividend Reinvestment and Direct Stock Purchase Sale Plan. The reporting person received 3,233 shares of common stock upon the net exercise of 8,333 stock appreciation rights (SARs). A total of 5,100 shares of common stock underlying such SARs were withheld in the payment of the exercise price and to satisfy the withholding tax obligation resulting from the exercise. /s/John L. Sullivan III 2021-05-20