0001140361-11-039231.txt : 20110803
0001140361-11-039231.hdr.sgml : 20110803
20110803090512
ACCESSION NUMBER: 0001140361-11-039231
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110801
FILED AS OF DATE: 20110803
DATE AS OF CHANGE: 20110803
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Feeney David T
CENTRAL INDEX KEY: 0001468829
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-13375
FILM NUMBER: 111005460
MAIL ADDRESS:
STREET 1: 2727 SCIOTO PARKWAY
CITY: COLUMBUS
STATE: OH
ZIP: 43221
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Miller Craig A
CENTRAL INDEX KEY: 0001468830
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-13375
FILM NUMBER: 111005462
MAIL ADDRESS:
STREET 1: 2727 SCIOTO PARKWAY
CITY: COLUMBUS
STATE: OH
ZIP: 43221
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kelly Kevin A
CENTRAL INDEX KEY: 0001468988
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-13375
FILM NUMBER: 111005461
MAIL ADDRESS:
STREET 1: 2727 SCIOTO PARKWAY
CITY: COLUMBUS
STATE: OH
ZIP: 43221
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LSI INDUSTRIES INC
CENTRAL INDEX KEY: 0000763532
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640]
IRS NUMBER: 310888951
STATE OF INCORPORATION: OH
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 10000 ALLIANCE RD
STREET 2: P O BOX 42728
CITY: CINCINNATI
STATE: OH
ZIP: 45242
BUSINESS PHONE: 5135796411
MAIL ADDRESS:
STREET 1: 10000 ALLIANCE RD
STREET 2: P O BOX 42728
CITY: CINCINNATI
STATE: OH
ZIP: 45242
FORMER COMPANY:
FORMER CONFORMED NAME: LSI LIGHTING SYSTEMS INC
DATE OF NAME CHANGE: 19891121
4
1
doc1.xml
FORM 4
X0304
4
2011-08-01
0
0000763532
LSI INDUSTRIES INC
LYTS
0001468830
Miller Craig A
2727 SCIOTO PARKWAY
COLUMBUS
OH
43221
0
0
1
0
0001468988
Kelly Kevin A
2727 SCIOTO PARKWAY
COLUMBUS
OH
43221
0
0
1
0
0001468829
Feeney David T
2727 SCIOTO PARKWAY
COLUMBUS
OH
43221
0
0
1
0
Common Stock
2011-08-01
4
S
0
20000
8.90
D
2195275
D
Option to Buy
5.93
2019-07-23
Common Shares
30000
30000
D
Option to Buy
5.21
2020-08-19
Common Shares
24000
24000
D
1,097,614 shares of the Issuer were distributed to the reporting persons with respect to their percentage interest in connection with a Purchase and Sale Agreement dated as of July 22, 2009 by and among the Issuer, LSI Acquisition Inc., ADL Technology Inc. ("Technology") and ADL Engineering Inc. ("Engineering"). 1,372,062 shares of the Issuer will be held in escrow pursuant to the terms of an Escrow Agreement dated as of July 22, 2009 by and among LSI Acquisition Inc., each of the reporting persons and U.S. Bank, N.A. (the "Escrow Agreement"), under which the reporting persons will have the authority to direct the escrow agent thereunder to sell all or a portion of the escrowed shares.
All shares held in escrow pursuant to the Escrow Agreement are subject to forfeiture under the terms of the Escrow Agreement for a period following the closing date in order to satisfy claims arising as a result of breaches of representations and warranties or covenants under the Agreement by Technology, Engineering or the reporting persons. Following the expiration of an initial eighteen month period under the Escrow Agreement, one half of the escrowed shares and any proceeds from sales thereof will be distributed to the reporting persons and following the termination of the escrow period under the Escrow Agreement, any remaining shares and any proceeds from sales thereof will be distributed to the reporting persons.
Each of the reporting persons disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or any other purpose.
These holdings have been previously reported on Form 4.
These options vest at a rate of 25% per year beginning on the first anniversary of the grant date.
These shares were sold pursuant to a 10b5-1 trading plan by Kevin A. Kelly, one of the reporting persons.
/s/ F. Mark Reuter, as Attorney-in-Fact for Craig A. Miller
2011-08-03
/s/ F. Mark Reuter, as Attorney-in-Fact for David T. Feeney
2011-08-03
/s/ F. Mark Reuter, as Attorney-in-Fact for Kevin A. Kelly
2011-08-03