-----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, RmulTjWipbSjRCMw980PCk2U1I8nF2dYazPV4+POQDBjR4YNHAUhwljxXddj4496 1SxWoGByJ061x6j3rrSCPw== 0001250617-10-000083.txt : 20101102 0001250617-10-000083.hdr.sgml : 20101102 20101102131357 ACCESSION NUMBER: 0001250617-10-000083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101029 FILED AS OF DATE: 20101102 DATE AS OF CHANGE: 20101102 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: 101157371 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 2010-10-29 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 2010-10-29 4 S 0 10487 14.7914 D 153212 D Options 9.30 2012-12-03 Common Stock 20000 20000 D Options 5.75 2014-01-07 Common Stock 40000 40000 D Incentive Stock Options 12.72 2015-06-01 Common Stock 23000 23000 D Non-Qualified Stock Options 12.72 2015-06-01 Common Stock 17000 17000 D 1/3rd of the options are currently exercisable, 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. 1/3rd of the options are exercisable 6/1/2012, 1/3rd are exercisable 6/1/2013, and the remaining 1/3rd are exercisable 6/1/2014. These shares are held jointly with the reporting persons spouse. All options are granted under the Spectrum Control, Inc. Employee Stock Option Plan which is a Rule 16b-3 Plan. John P. Leemhuis, Jr. Attorney in fact for Richard A. Southworth 2010-11-02 -----END PRIVACY-ENHANCED MESSAGE-----