0001127201-13-000002.txt : 20130412 0001127201-13-000002.hdr.sgml : 20130412 20130412120628 ACCESSION NUMBER: 0001127201-13-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130402 FILED AS OF DATE: 20130412 DATE AS OF CHANGE: 20130412 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRBOVICH NICHOLAS JR CENTRAL INDEX KEY: 0001127201 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07109 FILM NUMBER: 13758079 MAIL ADDRESS: STREET 1: 28 TANGLEWEED DR WEST CITY: ORCHARD PARK STATE: NY ZIP: 14219 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SERVOTRONICS INC /DE/ CENTRAL INDEX KEY: 0000089140 STANDARD INDUSTRIAL CLASSIFICATION: CUTLERY, HANDTOOLS & GENERAL HARDWARE [3420] IRS NUMBER: 160837866 STATE OF INCORPORATION: DE FISCAL YEAR END: 0101 BUSINESS ADDRESS: STREET 1: 1110 MAPLE ST CITY: ELMA STATE: NY ZIP: 14059 BUSINESS PHONE: 7166335990 MAIL ADDRESS: STREET 1: P O BOX 300 CITY: ELMA STATE: NY ZIP: 14059-0300 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-04-02 0 0000089140 SERVOTRONICS INC /DE/ svt 0001127201 TRBOVICH NICHOLAS JR 89 HAZELMERE AVENUE MACHIAS NY 14101 1 0 0 0 Common Stock 2013-04-02 4 M 0 5000 4.7 A 58188 D Common Stock 88738.98 I By ESOT Options (Right to Buy) 4.7 2013-04-02 4 M 0 5000 0 A 2015-12-29 Common Stock 5000 0 D The Reporting person exercisedhis option to purchase the 5,000 shares of common stock reported herein and tendered payment on April 2, 2013. The Company has refused to issue the shares reported to the Reporting Person. Reporting Person maintains the options are validly exercised and that the share transfer is effective April 2, 2013. As of the date hereof, includes 30,404 shares the Company has advised Reporting Person are allocated to Reporting Person's account under the Company's Employee stock Owernship Trust (the "ESOT") as well as shares allocated to the ESOT accounts of the Reporting Person's father, Dr. Nicholas Trbovich, and the Reporting Person's brothers, Michael Trbovich and Kenneth Trbovich, tha the Reporting Person is required to report pursuant to Rule 16a-8(b)(2). The Reporting Person disclaims beneficial ownership in in the 58,334.98 shares allocated to his family member's ESOT accounts. Reporting Person does not have access to the current holdings allocated to family members; the amounts reported are last know numbers; All of the options are currently exercisable. Nicholas Trbovich Jr. 2013-04-10