0001193805-16-004392.txt : 20161220 0001193805-16-004392.hdr.sgml : 20161220 20161220171553 ACCESSION NUMBER: 0001193805-16-004392 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161214 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20161220 DATE AS OF CHANGE: 20161220 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: 162062116 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 e615643_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): December 14, 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.
 
On December 14, 2016, Curt Kroll notified Katy Industries, Inc. (the “Company”) of his intention to resign as the Company’s chief financial officer and treasurer (and any other positions he holds with the Company or its subsidiaries) to pursue other interests, effective as of January 13, 2017 (the “Effective Date”).  The Company has commenced a process to identify and retain a successor to Mr. Kroll.  Mr. Kroll advised the Company that, following the Effective Date, he will assist the Company, on a consulting basis (and otherwise upon such terms as he and the Company shall mutually agree), in the transition of his functions to a successor, until March 31, 2017 or such earlier date as such transition has been completed.
 
 
 
 
 
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: December 20, 2016
 
 /s/ Robert Guerra  
    By: Robert Guerra  
   
Its: President and Chief Executive Officer