0001196395-11-000071.txt : 20110714 0001196395-11-000071.hdr.sgml : 20110714 20110714160913 ACCESSION NUMBER: 0001196395-11-000071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110712 FILED AS OF DATE: 20110714 DATE AS OF CHANGE: 20110714 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: 11968145 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 X0303 4 2011-07-12 0000089140 SERVOTRONICS INC /DE/ SVT 0001127201 TRBOVICH NICHOLAS JR 1110 MAPLE STREET, P.O. BOX 300 ELMA NY 14059-0300 1 1 0 0 President & COO Common Stock 16188 D Common Stock 88457.5 I By ESOT Options (Right to Buy) 4.38 2011-07-12 4 I 0 24000 4.585 D 2011-09-05 Common Stock 24000 0 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 As of the date hereof, includes 29,012.41 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 59,445.09 shares allocated to his family members' ESOT accounts. Pursuant to the 2001 Long-Term Stock Incentive Plan, as amended, 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 low market price of the Company's common stock on the day of surrender ($8.965) less an administrative charge. All of the options are currently exercisable. Nicholas D. Trbovich, Jr. 2011-07-14