-----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, WkLXmvGjX5nZ2rCpm2p8C2XInyvYzvD/6aAELz1oPq/BVvIPl9vGPsx4mhOrkpKQ 8uUijONmzXYMfonTDYAQrA== 0001019056-05-000613.txt : 20050615 0001019056-05-000613.hdr.sgml : 20050615 20050603095427 ACCESSION NUMBER: 0001019056-05-000613 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050603 FILED AS OF DATE: 20050603 DATE AS OF CHANGE: 20050603 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NATCO GROUP INC CENTRAL INDEX KEY: 0001057693 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED PLATE WORK (BOILER SHOPS) [3443] IRS NUMBER: 222906892 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: BROOKHOLLOW CENTRAL III STREET 2: 2950 NORTH LOOP WEST STE 750 CITY: HOUSTON STATE: TX ZIP: 77092 BUSINESS PHONE: 7136839292 MAIL ADDRESS: STREET 1: BROOKHOLLOW CENTERL III STREET 2: 2950 NORTH LOOP WEST STE 750 CITY: HOUSTON STATE: TX ZIP: 77092 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WINOKUR HERBERT S JR CENTRAL INDEX KEY: 0001046322 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-FACILITIES SUPPORT MANAGEMENT SERVICES [8744] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15603 FILM NUMBER: 05875909 BUSINESS ADDRESS: BUSINESS PHONE: 7032640330 MAIL ADDRESS: STREET 1: 30 E ELM ST CITY: GREENWICH STATE: CT ZIP: 06930 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2005-06-03 0001057693 NATCO GROUP INC NTG 0001046322 WINOKUR HERBERT S JR 30 EAST ELM STREET GREENWICH CT 06830 1 0 1 0 Class A Common Stock par value $0.01 per share 2005-06-01 2005-06-01 4 A 0 5000 11.165 A 4949400 I See Notes 2 and 3 Restrictions on this grant of restricted stock lapse 100% after one year of service, or on June 1, 2006, or sooner on the death, disability or retirement after age 68 of the recipient, or upon a corporate change. The stock was issued on June 1, 2005, and therefore has no expiration date, but could be forfeited if service ends prior to June 1, 2006, under certain circumstances. Mr. Winokur holds such shares for the benefit of Capricorn Investors II, L.P. ("Capricorn II"). See Note 2. Of such 4,949,400 shares, Mr. Winokur holds 26,428 shares directly & 1,835,951 shares through Capricorn Holdings, Inc., of which Mr. Winokur is the sole stockholder. The remaining 3,087,021 shares are held by Capricorn II. Such 4,949,400 shares excludes (i) 5,000 restricted shares held directly by Mr. Winokur for the benefit of Capricorn II, for which the restrictions lapse as to 2,500 shares on July 15, 2005 and as to the remaining 2,500 shares on June 3, 2006 and (ii) the 5,000 restricted shares referenced in footnote 1 above. For purposes of Section 16(b) of the Exchange Act, Mr. Winokur disclaims beneficial ownership of Capricorn II's shares in excess of his pecuniary interest therein. Mr. Winokur is the managing member of Capricorn Holdings, LLC, the general partner of Capricorn II and, as such, may be deemed to have both voting and investment power over such shares. Mr. Winokur may be deemed to have a pecuniary interest in Capricorn II's shares through his membership interest in Winokur Family Investors LLC, which is a limited partner of Capricorn II and a member of Capricorn Holdings LLC. For purposes of Section 16(b) of the Exchange Act, Mr. Winokur disclaims beneficial ownership of Capricorn II's shares in excess of his pecuniary interest. /s/ HERBERT S. WINOKUR, JR. 2005-06-03 -----END PRIVACY-ENHANCED MESSAGE-----