-----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, SzBcc2cDahc67vnkBLk9Rnkzod+qBWMdKW1jsKXShWlldKn47OKx5bDs9FtdYpQI qkqEdib6Ty0wJLhicO5CPA== 0001140361-10-012395.txt : 20100316 0001140361-10-012395.hdr.sgml : 20100316 20100316182540 ACCESSION NUMBER: 0001140361-10-012395 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20100312 FILED AS OF DATE: 20100316 DATE AS OF CHANGE: 20100316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carter Edward CENTRAL INDEX KEY: 0001449363 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05558 FILM NUMBER: 10686922 MAIL ADDRESS: STREET 1: 305 ROCK INDUSTRIAL PARK DRIVE CITY: BRIDGETON STATE: MO ZIP: 63044 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: 305 ROCK INDUSTRIAL PARK DRIVE CITY: BRIDGETON STATE: MO ZIP: 63044 BUSINESS PHONE: 3146564321 MAIL ADDRESS: STREET 1: 305 ROCK INDUSTRIAL PARK DRIVE CITY: BRIDGETON STATE: MO ZIP: 63044 4 1 doc1.xml FORM 4 X0303 4 2010-03-12 0 0000054681 KATY INDUSTRIES INC KATY.OB 0001449363 Carter Edward 305 ROCK INDUSTRIAL PARK DRIVE BRIDGETON MO 63044 0 1 0 0 VP Sales and Marketing Option to purchase Common Stock 1.16 2009-10-27 2018-10-27 Common Stock 125000 125000 D Stock Apprciation Rights 1.60 2010-03-12 4 A 0 15000 1.60 A 2011-03-12 2020-03-12 Common Stock 15000 15000 D Stock options vest evenly over three years; 1/3 vest on 10/27/09, 1/3 vest on 10/27/10 and 1/3 vest on 10/27/11. Stock appreciation rights vest evenly over three years; 1/3 vest on 3/12/11, 1/3 vest on 3/12/12 and 1/3 vest on 3/12/13. James W. Shaffer as attorney-in-fact for Edward Carter 2010-03-16 EX-24.1 2 poa1.htm POWER OF ATTORNEY Unassociated Document
 
 
KATY INDUSTRIES, INC.
POWER OF ATTORNEY

 
 
 
Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned’s true and lawful attorney-in-fact to:

(1)
execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;

(2)
do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Form 3, 4 and 5, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(3)
take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney–in–fact, may be of benefit to, in the best interest of or legally required by, the undersigned, it being understood that the documents executed by such attorney–in–fact, on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney–in–fact may approve in such attorney–in–fact’s discretion.

The undersigned hereby grants to each such attorney–in–fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney–in–fact, or such attorney–in–fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorneys–in–fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney–in–fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 26th day of June 2009.


/s/ Edward D. Carter
Signature

6/26/09
Date

Edward D. Carter
Print Name


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