-----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, NPajQ4m8x2MdD5YzU20XR9cu9AXtRU3KYtWU/gJlcHvc/U5o9Ng/MmU0hCI7jDkN LVMoCYUM3OJsTmvSoJrkUg== 0001196395-08-000011.txt : 20080206 0001196395-08-000011.hdr.sgml : 20080206 20080206160342 ACCESSION NUMBER: 0001196395-08-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080204 FILED AS OF DATE: 20080206 DATE AS OF CHANGE: 20080206 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: 08581528 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 STREET 2: ELMA STATE: NY ZIP: 14059-0300 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2008-02-04 0000089140 SERVOTRONICS INC /DE/ SVT 0001127201 TRBOVICH NICHOLAS JR 1110 MAPLE STREET, P.O. BOX 300 ELMA NY 14059-0300 1 1 0 0 Chief Operating Officer Common Stock 15814 D Common Stock 80110.365 I By ESOT Options (Right to Buy) 8.50 2008-02-04 4 D 0 12600 6.70 D 2008-03-23 Common Stock 12600 0 D Options (Right to Buy) 8.50 2008-02-04 4 D 0 5800 6.70 D 2008-03-23 Common Stock 5800 0 D Options (Right to Buy) 3.8125 2010-07-06 Common Stock 18400 18400 D Options (Right to Buy) 4.38 2011-09-05 Common Stock 24000 24000 D Options (Right to Buy) 2.045 2013-04-10 Common Stock 27000 27000 D Options (Right to Buy) 4.70 2015-12-29 Common Stock 15000 15000 D Does not include the shares reported by the reporting person's father, Dr. Nicholas D. Trbovich, who files Section 16(a) reports under his own name. As of the date hereof, includes 25,340.385 shares allocated to the reporting person's account under the Company's Employee Stock Ownership 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, that the reporting person is required to report pursuant to Rule 16a-8(b)(2). The reporting person disclaims beneficial interest in the 54,769.98 shares allocated to his family members' ESOT accounts. Pursuant to an amendment to the applicable stock option agreement, the reporting person elected to surrender these unexercised options to the Company in exchange for a cash payment equal to the difference between the exercise price and the average of the high and the low market price of the Company's common stock on the day of surrender ($15.22) less an administrative charge. All of the options are currently exercisable. Nicholas D. Trbovich, Jr. 2008-02-06 -----END PRIVACY-ENHANCED MESSAGE-----