-----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, G6ez8iNqGe0pE8Cdm/APyGyEudnbDcwY/HV032yFISXTcArFhLNW22tKSVAhLKQF ucg9TL0VddbZItUz7Fj+Nw== 0001140361-05-010069.txt : 20051122 0001140361-05-010069.hdr.sgml : 20051122 20051122153836 ACCESSION NUMBER: 0001140361-05-010069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051118 FILED AS OF DATE: 20051122 DATE AS OF CHANGE: 20051122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARROLL DANIEL B CENTRAL INDEX KEY: 0001194813 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05558 FILM NUMBER: 051221280 BUSINESS ADDRESS: BUSINESS PHONE: 2035980397 MAIL ADDRESS: STREET 1: C/O KATY INDUSTRIES INC STREET 2: 765 STRAITS TURNPIKE STE 2000 CITY: MIDDLEBURY STATE: CT ZIP: 06762 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KATY INDUSTRIES INC CENTRAL INDEX KEY: 0000054681 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 751277589 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 765 STRAITS TURNPIKE STREET 2: SUITE 2000 CITY: MIDDLEBURY STATE: CT ZIP: 06762 BUSINESS PHONE: 2035980397 MAIL ADDRESS: STREET 1: 765 STRAITS TURNPIKE STREET 2: SUITE 2000 CITY: MIDDLEBURY STATE: CT ZIP: 06762 4 1 doc1.xml FORM 4 X0202 4 2005-11-18 0 0000054681 KATY INDUSTRIES INC KT 0001194813 CARROLL DANIEL B 765 STRAITS TURNPIKE SUITE 2000 MIDDLEBURY CT 06762 1 0 0 0 Common Stock 2005-11-18 2005-11-18 4 S 0 1000 2.10 D 5600 D Option to purchase Common Stock 3.69 2005-05-26 2015-05-26 Common Stock 27000 27000 D The exercisable date, conversion price, and expiration date on the stock options represent information from the most recent grant, 5/26/05. The Reporting Person has received stock options from 1996 through 2005 with conversion prices ranging from $3.11 to $18.125 /s/ Michael C. Paul as attorney-in-fact for Daniel B. Carroll 2005-11-22 -----END PRIVACY-ENHANCED MESSAGE-----