-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Qjdd/kCieaHgZWy7QF9M35xjZe2GE4OOWxfXGWyy4XxevgUln0cV7ZuTFAaYmFuR 0YMFUfjY6yR/m7af4fsOFQ== 0001116502-05-001276.txt : 20050611 0001116502-05-001276.hdr.sgml : 20050611 20050531085734 ACCESSION NUMBER: 0001116502-05-001276 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050525 FILED AS OF DATE: 20050531 DATE AS OF CHANGE: 20050531 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PENN ENGINEERING & MANUFACTURING CORP CENTRAL INDEX KEY: 0000077106 STANDARD INDUSTRIAL CLASSIFICATION: BOLTS, NUTS, SCREWS, RIVETS & WASHERS [3452] IRS NUMBER: 230951065 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: PO BOX 1000 CITY: DANBORO STATE: PA ZIP: 18916 BUSINESS PHONE: 2157663675 MAIL ADDRESS: STREET 1: P O BOX 1000 CITY: DANBORO STATE: PA ZIP: 18916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWANSTROM KENNETH A CENTRAL INDEX KEY: 0001007660 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05356 FILM NUMBER: 05865587 BUSINESS ADDRESS: STREET 1: PLANY #1 OLD EASTERN ROAD STREET 2: PO BOX 1000 CITY: DANBORO STATE: PA ZIP: 19916 BUSINESS PHONE: 2157668853 4 1 swanstrom-k_ex.xml X0202 4 2005-05-25 1 0000077106 PENN ENGINEERING & MANUFACTURING CORP PNN&PNNA 0001007660 SWANSTROM KENNETH A PENN ENGINEERING & MANUFACTURING CORP. 5190 OLD EASTON RD. DANBORO PA 18916 1 1 1 0 Chairman of the Board & CEO Class A Common Stock, $.01 par value 2005-05-25 4 D 0 480348 D 0 D Class A Common Stock, $.01 par value 2005-05-25 4 D 0 125950 D 0 I By Trust Class A Common Stock, $.01 par value 2005-05-25 4 D 0 172906 D 0 I By Trust Class A Common Stock, $.01 par value 2005-05-25 4 D 0 24038 D 0 I By Trust Class A Common Stock, $.01 par value 2005-05-25 4 D 0 1041044 D 0 I By Trust Common Stock, $.01 par value 2005-05-25 4 D 0 182850 D 0 I By Trust Common Stock, $.01 par value 2005-05-25 4 D 0 347518 D 0 I By Trust Common Stock, $.01 par value 2005-05-25 4 D 0 48314 D 0 I By Trust Employee Stock Option 9.188 2005-05-25 4 D 0 30000 D 1997-12-04 2006-12-04 Common Stock 30000 0 D Employee Stock Option 12.813 2005-05-25 4 D 0 30000 D 1998-12-16 2007-12-16 Common Stock 30000 0 D Employee Stock Option 12.688 2005-05-25 4 D 0 30000 D 2000-12-08 2009-12-08 Common Stock 30000 0 D Employee Stock Option 18.063 2005-05-25 4 D 0 40000 D 2001-12-06 2010-12-06 Common Stock 40000 0 D Employee Stock Option 16.580 2005-05-25 4 D 0 40000 D 2002-12-05 2011-12-05 Common Stock 40000 0 D Employee Stock Option 11.700 2005-05-25 4 D 0 40000 D 2003-12-05 2012-12-05 Common Stock 40000 0 D Employee Stock Option 17.300 2005-05-25 4 D 0 40000 D 2004-12-03 2013-12-03 Common Stock 40000 0 D Sale of Stock: Pursuant to the Agreement and Plan of Merger, dated as of January 17, 2005, as amended as of May 10, 2005, by and among PEM Holding Co., PN Merger Sub, Inc. and Penn Engineering & Manufacturing Corp. (the"Company"), each issued and outstanding share of the Company's common stock and class A common stock has been converted as of the effective time of the merger into the right to receive $18.25 in cash, without interest, except for shares for which appraisal rights have been perfected under Delaware law. Cash-Out of Stock Options: Pursuant to the Agreement and Plan of Merger, dated as of January 17, 2005, as amended as of May 10, 2005, by and among PEM Holding Co., PN Merger Sub, Inc. and Penn Engineering & Manufacturing Corp. (the"Company"), this option was canceled in exchange for a cash payment of $18.25 by the Company, representing the difference between the exercise price of the option and the $18.25 per share merger consideration. /s/ Kenneth A. Swanstrom 2005-05-25 -----END PRIVACY-ENHANCED MESSAGE-----