0001140361-16-068052.txt : 20160601 0001140361-16-068052.hdr.sgml : 20160601 20160601145959 ACCESSION NUMBER: 0001140361-16-068052 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160526 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20160601 DATE AS OF CHANGE: 20160601 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-05558 FILM NUMBER: 161688912 BUSINESS ADDRESS: STREET 1: 11840 WESTLINE INDUSTRIAL DRIVE STREET 2: SUITE 200 CITY: ST LOUIS STATE: MO ZIP: 63146 BUSINESS PHONE: 3146564321 MAIL ADDRESS: STREET 1: 11840 WESTLINE INDUSTRIAL DRIVE STREET 2: SUITE 200 CITY: ST LOUIS STATE: MO ZIP: 63146 8-K 1 form8k.htm KATY INDUSTRIES, INC. 8-K 5-26-2016
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
 
FORM 8-K
 
 
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported):  May 26, 2016
 
Katy Industries, Inc.
(Exact name of registrant as specified in its charter)
 
Delaware
001-05558
75-1277589
     
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)
 
11840 Westline Industrial Drive, Suite 200
St Louis, Missouri  63146
(Address of principal executive offices) (Zip Code)
 
(314) 656-4321
(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act
 
Item 5.07. Submission of Matters to a Vote of Security Holders.
 
On May 26, 2016, Katy Industries, Inc. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”) at which the Company’s stockholders approved four proposals.  The proposals are described in detail in the Company’s Proxy Statement for the Annual Meeting.
 
Proposal 1
 
The Company’s stockholders elected four individuals to the Board of Directors as set forth below:
 
Name
Votes For
Votes Withheld
Broker Non-Votes
       
Daniel B. Carroll
4,231,914
1,364,516
1,160,006
       
Pamela Carroll Crigler
4,232,155
1,364,275
1,160,006
       
David J. Feldman
4,178,407
1,418,023
1,160,006
 
Proposal 2
 
The Company’s stockholders ratified the appointment of UHY LLP as the Company’s independent registered public accounting firm for 2016, as set forth below:
 
Votes For
Votes Against
Abstentions
     
6,729,656
21,892
4,888

Proposal 3

The Company’s stockholders approved, on an advisory (non-binding) basis, executive compensation, as set forth below:
 
Votes For
Votes Against
Abstentions
Broker Non-Votes
       
4,217,549
1,378,357
524
1,160,006

Proposal 4

The Company’s stockholders approved, on an advisory (non-binding) basis, the holding of an advisory (non-binding) vote on executive compensation on a three-year interval, as set forth below:
 
1 Year
2 Years
3 Years
Abstentions
Broker Non-Votes
         
2,226,144
8,029
3,359,752
2,505
1,160,006
 
SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
KATY INDUSTRIES, INC.
(Registrant)
 
By: /s/ Curt Kroll
Curt Kroll
Treasurer and Chief Financial Officer
 
Date:  June 1, 2016