FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GENCOR INDUSTRIES INC [ GENC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/30/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, $.10 par value | 04/30/2008 | P | 100 | A | $25.77 | 1,246,594 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | P | 100 | A | $25.75 | 1,246,694 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | P | 200 | A | $26.2 | 1,246,894 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | P | 200 | A | $26.25 | 1,247,094 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | P | 200 | A | $26.05 | 1,247,294 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | P | 200 | A | $25.7 | 1,247,494 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | P | 300 | A | $26 | 1,247,794 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | S | 200 | D | $26.09 | 1,247,594 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | S | 200 | D | $25.9 | 1,247,394 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | S | 200 | D | $26.33 | 1,247,194 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | S | 142 | D | $26.22 | 1,247,052 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | S | 100 | D | $26.05 | 1,246,952 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 04/30/2008 | S | 100 | D | $26.12 | 1,246,852 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 100 | A | $26.75 | 1,246,952 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 100 | A | $26.65 | 1,247,052 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 100 | A | $26.45 | 1,247,152 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 100 | A | $26.75 | 1,247,252 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 100 | A | $26.45 | 1,247,352 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 100 | A | $26.4 | 1,247,452 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 200 | A | $27 | 1,247,652 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 600 | A | $26.5 | 1,248,252 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 500 | D | $27.25 | 1,247,752 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 500 | D | $27.5 | 1,247,252 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 500 | D | $27.38 | 1,246,752 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 300 | D | $26.85 | 1,246,452 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 200 | D | $26.95 | 1,246,252 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 200 | D | $26.59 | 1,246,052 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | S | 100(1) | D | $26.48 | 1,245,952 | I | By Spouse (deceased 07/25/2008) | ||
Common Stock, $.10 par value | 05/01/2008 | P | 0 | A | $0 | 874,250 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. All of the foregoing transactions were effected prior to Mr. Houtkin's death (07/25/08) and reflect shares in which he had a beneficial ownership, other than shares beneficially owned by his spouse, Sherry Houtkin, which are reported herein by Mrs. Houtkin. |
Remarks: |
Mr. Houtkin passed away July 25, 2008. On that date, he ceased to be a 10% owner and was no longer subject to Section 16. |
/s/ Sherry Houtkin | 02/05/2009 | |
/s/ Brad Houtkin | 02/05/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |