-----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, M/DEDawaL0azOx5ToLWiBatX9HTMIOA78TLvrzEKeftoAvbI/dElnhbjOLunhpuK H22mSHfopEBb1tPNnw1xnA== 0001140361-04-001520.txt : 20040224 0001140361-04-001520.hdr.sgml : 20040224 20040224115611 ACCESSION NUMBER: 0001140361-04-001520 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040217 FILED AS OF DATE: 20040224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KATY INDUSTRIES INC CENTRAL INDEX KEY: 0000054681 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 751277589 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6300 S SYRACUSE WAY STE 300 CITY: ENGLEWOOD STATE: CO ZIP: 80111-6723 BUSINESS PHONE: 3032909300 MAIL ADDRESS: STREET 1: 6300 S SYRACUSE WAY SUITE 300 CITY: ENGLEWOOD STATE: CO ZIP: 80111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRL INC CENTRAL INDEX KEY: 0000942616 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05558 FILM NUMBER: 04623885 BUSINESS ADDRESS: STREET 1: 7505 VILLAGE SQUARE DRIVE STE 200 CITY: CASTLE ROCK STATE: CO ZIP: 80111 BUSINESS PHONE: 3036888800 MAIL ADDRESS: STREET 1: 7505 VILLAGE SQUARE DR STE 200 CITY: CASTLE ROCK STATE: CO ZIP: 80111 4/A 1 doc1.xml FORM 4/A X0201 4/A 2004-02-17 2004-02-19 0 0000054681 KATY INDUSTRIES INC KT 0000942616 CRL INC 7505 VILLAGE SQUARE DRIVE, SUITE 200 CASTLE ROCK X1 80108 0 0 1 0 Common Stock 2004-02-17 2004-02-17 4 S 0 1200 6.00 D 2072236 D CRL, Inc. directly beneficially owns 2,072,236 shares of the Issuer's outstanding common stock after giving effect to the transaction reported herein. As stockholders of CRL, the WEC Jr. '58 Trust and the Reporting Person may be deemed to indirectly beneficially own such Shares. The Reporting Person may be deemed to have an indirect pecuniary interest in the shares indirectly beneficially owned by the WEC Jr. '58 Trust through CRL to the extent that he and/or the members of his immediate family living in the same household are beneficiaries of that trust and as a stockholder of CRL. Members of the Wallace E. Carroll, Jr. immediate family are beneficiaries of the Wallace E. and Lelia H. Carroll Trust U/A Dated 5/1/58 F/B/O Wallace E. Carroll, Jr. and his descendants (the "WEC Jr. '58 Trust"), the Lelia H. Carroll Trust U/A Dated 7/12/62 F/B/O Wallace E. Carroll, Jr. (the "WEC Jr. '62 Trust) and the Family Grandchildren Trust U/A dated 9/29/90 F/B/O the descendents of Wallace E. Carroll, Jr. (the ?Family Trust?) (collectively, the ?WEC Trusts?). The WEC Jr. '58 Trust, the WEC Jr. '62 Trust and the Family Trust directly beneficially own 603,000, 194,693 and 6,942 shares of the Issuer's outstanding common stock, respectively, for an aggregate of 804,635 shares (the ?Trust Shares?). The Reporting Person may be deemed to have an indirect pecuniary interest in the Trust Shares to the extent that he and/or the members of his immediate family living in the same household are beneficiaries of the WEC Trusts. Common stock is held by the Katy Industries, Inc. Directors? Deferred Compensation Plan in a Rabbi Trust arrangement. 2,855 shares are held for the benefit of Amelia M. Carroll, and 2,855 shares are held for the benefit of her spouse, Wallace E. Carroll, Jr. Members of Wallace E Carroll, Jr?s immediate family are beneficiaries of the WEC Trusts (see Note 1). The Reporting Person may be deemed to have an indirect pecuniary interest in the Trust Shares to the extent that members of her immediate family living in the same household are beneficiaries of the WEC Trusts. Amelia M. Carroll may be deemed to have an indirect pecuniary interest in the CRL Shares to the extent that members of her immediate family living in the same household own CRL shares and are beneficiaries of the WEC Jr. '58 Trust (see Note 2). As a stockholders of CRL, Amelia M. Carroll and Wallace E. Carroll, Jr. may be deemed to have an indirect pecuniary interest in the CRL Shares. Michael Paul, as attorney-in-fact for CRL, Inc. 2004-02-24 -----END PRIVACY-ENHANCED MESSAGE-----