0001250617-11-000034.txt : 20110606 0001250617-11-000034.hdr.sgml : 20110606 20110606154510 ACCESSION NUMBER: 0001250617-11-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110601 FILED AS OF DATE: 20110606 DATE AS OF CHANGE: 20110606 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: 11895215 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 2011-06-01 1 0000092769 SPECTRUM CONTROL INC SPEC 0001257223 SOUTHWORTH RICHARD A 8031 AVONIA ROAD FAIRVIEW PA 16415 1 1 0 0 President Common Stock 2011-06-01 4 D 0 1425 20.00 D 0 D Common Stock 2011-06-01 4 D 0 153212 20.00 D 0 D Options 9.30 2011-06-01 4 D 0 20000 D 2012-12-03 Common Stock 20000 0 D Options 5.75 2011-06-01 4 D 0 40000 D 2014-01-07 Common Stock 40000 0 D Incentive Stock Options 12.72 2011-06-01 4 D 0 23000 D 2015-06-01 Common Stock 23000 0 D Non-Qualified Stock Options 12.72 2011-06-01 4 D 0 17000 D 2015-06-01 Common Stock 17000 0 D These options, which include options that are currently exercisable and options not yet exerciseable, were cancelled in the merger between the issuer and API Technologies, Corp. in exchange for a cash payment equal to the difference between the per share exercise price of the option and $20.00 per share. 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 2011-06-06