-----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, Un/JIwjj9vpexL6QtAAztinp7GnqhyUJeNOjeEuuLgvjjnbG2N7G3S06vQ3RV8z6 rYPQLE9tPBkBmkOpadCn9A== 0001250617-09-000010.txt : 20090109 0001250617-09-000010.hdr.sgml : 20090109 20090109145653 ACCESSION NUMBER: 0001250617-09-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090107 FILED AS OF DATE: 20090109 DATE AS OF CHANGE: 20090109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOUTHWORTH RICHARD A CENTRAL INDEX KEY: 0001257223 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08796 FILM NUMBER: 09518372 BUSINESS ADDRESS: STREET 1: 8031 AVONIA RODS CITY: FAIRVIEW STATE: PA ZIP: 16415 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRUM CONTROL INC CENTRAL INDEX KEY: 0000092769 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 251196447 STATE OF INCORPORATION: PA FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 8031 AVONIA ROAD CITY: FAIRVIEW STATE: PA ZIP: 16415 BUSINESS PHONE: 8144744310 MAIL ADDRESS: STREET 1: 8031 AVONIA ROAD CITY: FAIRVIEW STATE: PA ZIP: 16415 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-01-07 0000092769 SPECTRUM CONTROL INC SPEC 0001257223 SOUTHWORTH RICHARD A 8031 AVONIA ROAD FAIRVIEW PA 16415 1 1 0 0 President Common Stock 1425 D Common Stock 142331 D Options 8.68 2009-01-19 Common Stock 40000 40000 D Options 7.60 2010-01-19 Common Stock 25000 25000 D Options 7.60 2010-01-19 Common Stock 15000 15000 D Non-qualified Stock Options 6.31 2010-11-01 Common Stock 50000 50000 D Options 9.30 2012-12-03 Common Stock 20000 20000 D Options 5.75 2009-01-07 4 A 0 40000 A 2014-01-07 Common Stock 40000 40000 D All of the options are currently exercisable. 1/3rd of the options are currently exercisable, 1/3rd are exercisable 1/19/08, and the remaining 1/3rd are exercisable 1/19/09. 1/3rd of the options are currently exercisable, 1/3rd are exercisable 1/19/08, and the remaining 1/3rd are exercisable 1/19/09. 1/3rd of the options are currently exercisable, 1/3rd are exercisable 11/1/08, and the remaining 1/3rd are exercisable 11/1/09. 1/3rd of the options are exercisable 12/3/2009, 1/3rd are exercisable 12/3/2010, and the remaining 1/3rd are exercisable 11/1/2011. 1/3rd of the options are exercisable 1/7/2011, 1/3rd are exercisable 1/7/2012, and the remaining 1/3rd are exercisable 1/7/2013. All are granted under the Spectrum Contol, Inc. Employee Stock Option Plan which is a Rule 16b-3 Plan. These shares are held jointly with the reporting persons spouse. All are Granted under Spectrum Contol, Inc. Employee Stock Option Plan which is a Rule 16b-3 Plan. John P. Leemhuis, Jr. Attorney in fact for Richard A. Southworth 2009-01-09 -----END PRIVACY-ENHANCED MESSAGE-----