0001140361-12-020056.txt : 20120411 0001140361-12-020056.hdr.sgml : 20120411 20120411122936 ACCESSION NUMBER: 0001140361-12-020056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110328 FILED AS OF DATE: 20120411 DATE AS OF CHANGE: 20120411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FELDMAN DAVID J CENTRAL INDEX KEY: 0001261008 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05558 FILM NUMBER: 12753695 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 X0305 4 2011-03-28 0 0000054681 KATY INDUSTRIES INC KATY.OB 0001261008 FELDMAN DAVID J 305 ROCK INDUSTRIAL PARK DRIVE BRIDGETON MO 63044 1 1 0 0 President and CEO Option to purchase Common Stock 1.2 2011-03-28 4 D 0 750000 D 2009-04-21 2018-04-21 Common Stock 750000 0 D Stock options were cancelled by mutual agreement of the reporting person and Katy Industries, Inc. The reporting person became a participant in the Katy Industries, Inc. 2011 Change in Control Plan ("2011 CIC Plan") as consideration for the cancellation. James W. Shaffer as attorney-in-fact for David J. Feldman 2012-04-11