Dayton Superior Corp - Statement of Changes in Beneficial Ownership (4)
15 Mayo 2008 - 3:51PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
January 31, 2008
Estimated average burden
hours per response...
0.5
|
|
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(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Bartholomae Raymond
|
2. Issuer Name
and
Ticker or Trading Symbol
DAYTON SUPERIOR CORP
[
DSUP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
EVP & President, Symons
|
(Last)
(First)
(Middle)
7777 WASHINGTON VILLAGE DRIVE, SUITE 130
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2008
|
(Street)
DAYTON, OH 45459
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. 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
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
5/13/2008
|
|
P
|
|
7200
|
A
|
$1.73
|
337172
(1)
(2)
|
D
|
|
Common Stock
|
5/13/2008
|
|
P
|
|
10500
|
A
|
$1.74
|
337172
(1)
(2)
|
D
|
|
Common Stock
|
5/13/2008
|
|
P
|
|
2300
|
A
|
$1.75
|
337172
(1)
(2)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
Includes 251,491 common shares that are restricted pursuant to a restricted stock agreement between Dayton Superior Corporation (the "Company") and Mr. Bartholomae. Under the restricted stock agreement, following an initial public offering of the Company's equity securities, the grant will vest, and the restrictions on the shares of common stock will lapse, with respect to four equal installments of 25% of the shares of common stock subject thereto on December 31 of the year in which such initial public offering occurs and each of the next three years, subject to the satisfaction of certain additional vesting conditions.
|
(
2)
|
Pursuant to a voting agreement among Mr. Bartholomae, Odyssey Investment Partners Fund, L.P. and certain of its affiliates ("Odyssey") and certain other executive officers of the Company, Odyssey has the right to vote these shares.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Bartholomae Raymond
7777 WASHINGTON VILLAGE DRIVE
SUITE 130
DAYTON, OH 45459
|
|
|
EVP & President, Symons
|
|
Signatures
|
RAYMOND E. BARTHOLOMAE
by /s/ John M. McCann
Attorney-in-Fact pursuant to previously filed Power of Attorney
|
|
5/15/2008
|
**
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.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Dayton Superior Corp (MM) (NASDAQ:DSUP)
Gráfica de Acción Histórica
De May 2024 a Jun 2024
Dayton Superior Corp (MM) (NASDAQ:DSUP)
Gráfica de Acción Histórica
De Jun 2023 a Jun 2024
Real-Time news about Dayton Superior Corp (MM) (NASDAQ): 0 recent articles
Más de Dayton Superior Corp Artículos de Noticias