0001193805-16-004021.txt : 20160923 0001193805-16-004021.hdr.sgml : 20160923 20160923163010 ACCESSION NUMBER: 0001193805-16-004021 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160919 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20160923 DATE AS OF CHANGE: 20160923 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: 161900158 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 e615441_8k-katy.htm Unassociated Document
 
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): September 19, 2016
 
Katy Industries, Inc.
(Exact name of registrant as specified in its charter)
 
Delaware
(State or other jurisdiction of incorporation)
001-05558
(Commission File Number)
 
75-1277589
(IRS Employer Identification No.)

11840 Westline Industrial Drive, Suite 200
St Louis, Missouri 63146
(Address of principal executive offices)
 
(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 (see General instruction A.2. below):
 
o  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 
 
 
Item 5.02.
Departure of Directors or Principal Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
 
Effective as of September 19, 2016, David Feldman, the Chief Executive Officer of Katy Industries, Inc. (the “Company”), was placed on administrative leave pending an internal review of  the Company’s and Mr. Feldman’s performance.  Mr. Feldman continues to serve as a member of the Company’s board of directors.  During Mr. Feldman’s leave of absence as Chief Executive Officer, his functions will be performed by multiple members of the Company’s existing personnel. 
 
 
 
 
 
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.
  
       
Dated: September 23, 2016
/s/ Curt Kroll
  
  By: Curt Kroll  
  Its: Treasurer and Chief Financial Officer