-----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, O6F4a7ucwvpsv9ccnZaaeUs0ENIlKqG1tLKqJEnAMnu737Me8nvCzvOoeI64oPbl ipMScjoJlvLqLVOTYsxEHw== 0001068800-02-000269.txt : 20021001 0001068800-02-000269.hdr.sgml : 20021001 20021001124409 ACCESSION NUMBER: 0001068800-02-000269 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021001 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GARDNER DENVER INC CENTRAL INDEX KEY: 0000916459 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT [3560] IRS NUMBER: 760419383 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13215 FILM NUMBER: 02777967 BUSINESS ADDRESS: STREET 1: 1800 GARDNER EXPRESSWAY STREET 2: P O BOX 528 CITY: QUINCY STATE: IL ZIP: 62301 BUSINESS PHONE: 2172225400 MAIL ADDRESS: STREET 1: 1800 GARDNER EXPRESSWAY STREET 2: P O BOX 528 CITY: QUINCY STATE: IL ZIP: 62301 FORMER COMPANY: FORMER CONFORMED NAME: GARDNER DENVER MACHINERY INC DATE OF NAME CHANGE: 19931221 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: THOMPSON RICHARD L CENTRAL INDEX KEY: 0001122800 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2311 E TANGLEWOOD LANE CITY: PEORIA STATE: IL ZIP: 75080-2254 BUSINESS PHONE: 9724975326 MAIL ADDRESS: STREET 1: 2311 E TANGLEWOOD LN CITY: PEORIA STATE: IL ZIP: 61614 4 1 rlt0930.txt - ------------------ ------------------------------ FORM 4 OMB APPROVAL - ------------------ ------------------------------ OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response ....... 0.5 ------------------------------ 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* Thompson Richard L. - -------------------------------------------------------------------------------- (Last) (First) (Middle) Caterpillar Inc. 100 N.E. Adams Street - -------------------------------------------------------------------------------- (Street) Peoria IL 61629-7250 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name AND Ticker or Trading Symbol Gardner Denver, Inc. (GDI) ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ================================================================================ 4. Statement for Month/Day/Year September 30, 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) - -------------------------------------------------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person - ----- Form filed by More than One Reporting Person - ----- ================================================================================ ==================================================================================================================================== TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ====================================================================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2A. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Deemed Code ------------------------------- Owned Following (D) or Indirect 1. Transaction Execution (Instr. 8) (A) Reported Indirect Beneficial Title of Security Date Date, if any ------------ Amount or Price Transaction(s) (I) Ownership (Instr. 3) (Month/ (Month/ Code V (D) (Instr. 3 (Instr. 4)(Instr. 4) Day/Year) Day/Year) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
==================================================================================================================================== TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ====================================================================================================================================
9. Number of 10. Deriv- Owner- 2. ative ship Conver- 5. 7. Secu- Form of 11. sion Number of Title and Amount rities Deriv- Nature or 3A. Derivative 6. of Underlying 8. Bene- ative of Exer- Deemed 4. Securities Date Securities Price ficially Secu- In- cise 3. Execu- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Owned rities: direct Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- Following Direct Bene- 1. of action Date, Code of (D) (Month/Day/Year) Amount ative Reported (D) or ficial Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secu- Trans- Indirect Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number rity action(s) (I) ship Security Secu- Day/ Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) rity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 1/25/02 A 26.8 (1) (1) Common Stk 26.8 26.8 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 1/25/02 A 61.1(2) (1) (1) Common Stk 61.1(2) 21.81 61.1(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 2/22/02 A 27.0 (1) (1) Common Stk 27.0 27.0 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 2/22/02 A 61.8(2) (1) (1) Common Stk 61.8(2) 21.59 61.8(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 3/29/02 A 28.7 (1) (1) Common Stk 28.7 28.7 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 3/29/02 A 65.4(2) (1) (1) Common Stk 65.4(2) 20.36 65.4(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 4/26/02 A 25.5 (1) (1) Common Stk 25.5 25.5 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 4/26/02 A 58.2(2) (1) (1) Common Stk 58.2(2) 22.89 58.2(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 5/24/02 A 22.7 (1) (1) Common Stk 22.7 22.7 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 5/24/02 A 51.8(2) (1) (1) Common Stk 51.8(2) 25.73 51.8(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 6/28/02 A 23.9 (1) (1) Common Stk 23.9 23.9 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 6/28/02 A 95.6(2) (1) (1) Common Stk 95.6(2) 24.42 95.6(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 7/26/02 A 29.2 (1) (1) Common Stk 29.2 29.2 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 7/26/02 A 117.0(2) (1) (1) Common Stk 117.0(2) 19.95 117.0(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 8/23/02 A 29.9 (1) (1) Common Stk 29.9 29.9 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 8/23/02 A 119.5(2) (1) (1) Common Stk 119.5(2) 19.53 119.5(2) (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 9/27/02 A 30.7 (1) (1) Common Stk 30.7 30.7 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stk Units 1-for 1 9/27/02 A 122.9(2) (1) (1) Common Stk 122.9(2) 18.99 122.9(2) (D) ==================================================================================================================================== Explanation of Responses: (1) The cash value of these units will be distributed to the director or beneficiary on the first day of the month following the date upon which the director ceases to be a director of the Company for any reason, (or in no more than twelve installments beginning on the aforementioned date) pursuant to the Company's Phantom Stock Plan for Outside Directors (the "Phantom Plan"). (2) These phantom stock units were accrued under the Phantom Plan as a result of an election by the reporting person to defer compensation.
/s/ Richard L. Thompson September 30, 2002 - --------------------------------------------- ----------------------- **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. -----END PRIVACY-ENHANCED MESSAGE-----