-----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, Khts9QYCNCxj/+vacTa9gKCmno2AbCorWWoZEBGuz++NPHP6qrOMRFur6aCvq/e8 +I9xwEtaw/gCyDdzD5Hvmw== /in/edgar/work/0000849979-00-000047/0000849979-00-000047.txt : 20001114 0000849979-00-000047.hdr.sgml : 20001114 ACCESSION NUMBER: 0000849979-00-000047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001031 FILED AS OF DATE: 20001113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WEIRTON STEEL CORP CENTRAL INDEX KEY: 0000849979 STANDARD INDUSTRIAL CLASSIFICATION: [3312 ] IRS NUMBER: 061075442 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-10244 FILM NUMBER: 758388 BUSINESS ADDRESS: STREET 1: 400 THREE SPRINGS DR CITY: WEIRTON STATE: WV ZIP: 26062 BUSINESS PHONE: 3047972000 MAIL ADDRESS: STREET 1: 400 THREE SPRINGS DR CITY: WERITON STATE: WV ZIP: 26062 COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN MARK E CENTRAL INDEX KEY: 0001006882 STANDARD INDUSTRIAL CLASSIFICATION: [3312 ]OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 400 THREE SPRINGS DR CITY: WEIRTON STATE: WV ZIP: 26062 BUSINESS PHONE: 3047972000 MAIL ADDRESS: STREET 1: 400 THREE SPRINGS DR CITY: WERITON STATE: WV ZIP: 26062 4 1 0001.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 - ------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] CHECK THIS BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR 5 OBLIGATIONS MAY CONTINUE. 1. NAME AND ADDRESS OF REPORTING PERSON - --------------------------------------- Kaplan, Mark E. 400 Three Springs Drive Weirton, WV 26062 2. ISSUER NAME AND TICKER OR TRADING SYMBOL - -------------------------------------------- Weirton Steel Corporation WS 3. IRS OR SOCIAL SECURITY NUMBER OF REPORTING PERSON - ----------------------------------------------------- 4. STATEMENT FOR MONTH/YEAR - ---------------------------- 10/00 5. IF AMENDMENT, DATE OF ORIGINAL (MONTH/YEAR) - ----------------------------------------------- 6. RELATIONSHIP OF REPORTING PERSON TO ISSUER (CHECK ALL APPLICABLE) - ----------------------------------------------- [ DIRECTOR [ ] 10% OWNER [x] OFFICER (give title)[ ] OTHER (Specify below) Vice President-Information Services &Chief Financial Officer - ---------------------------------- - ---------------------------------- TABLE I. NON-DERIVATIVE SEURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. TITLE OF SECURITY Weirton Steel Common Stock 2. TRANSACTION DATE 3. TRANSACTION CODE 4. SECURITIES ACQUIRED (A) OR DISPOSED OF (D) AMOUNT (A) OR (D) PRICE -------- --------- -------- 5. AMOUNT OF SECURITIES BENEFICIALLY OWNED AT END OF MONTH 5,000 6. OWNERSHIP FORM: DIRECT(D) OR INDIRECT(I) Direct 7. NATURE OF INDIRECT BENEFICIAL OWNERSHIP ----------------------------------------------- TABLE II. DERIVATIVE SECURITIES DISPOSED OF, OR BENEFICIALLY OWNED (e.g. puts, calls, warrants, options, convertible securities) 1. TITLE OF DERIVATIVE SECURITY Common Stock Options 2. CONVERSION OR EXERCISE PRICE OF DERIVATIVE SECURITY 6.69 3. TRANSACTION DATE (MONTH/DAY/YEAR) 10/5/00 4. TRANSACTION CODE A 5. NUMBER OF DERIVATIVE SECURITIES ACQUIRED(A) OR DISPOSED OF(D) (A) (D) -------------- ------------- 189,000 6. DATE EXERCISABLE AND EXPIRATION DATE (MONTH/DAY/YEAR) DATE EXERCISABLE EXPIRATION DATE ---------------- --------------- Options require both stock price 5/24/10 performance and additional service by the optionee after grant in order to vest and become exercisable. Options vest and become exercisable incrementally based on the date the closing price of the Common Stock for 20 consecutive trading days equals or exceeds the following: 10%@$7.36; 20%@$8.24; 20%@$9.31; 20%@$10.52; and 30%@$12.41. Furthermore, 12 months of service following the date of grant is required for 40% of the options to vest and become exercisable and 24 months for the remaining 60% of the options to vest and become exercisable. 7. TITLE AND AMOUNT OF UNDERLYING SECURITIES TITLE AMOUNT ------- -------- Weirton Steel Corp. Common Stock 189,000 8. PRICE OF DERIVATIVE SECURITY 9. NUMBER OF DERIVATIVE SECURITIES BENEFICIALLY OWNED AT END OF MONTH 315,000 options 10. OWNERSHIP FORM OF DERIVATIVE SECURITY: DIRECT(D) OR INDIRECT(I) Direct 11. NATURE OF INDIRECT BENEFICIAL OWNERSHIP TABLE II. DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g. puts, calls, warrants, options, convertible securities) 1. TITLE OF DERIVATIVE SECURITY Weirton Steel Convertible Voting Preferred Stock, Series A 2. CONVERSION OR EXERCISE PRICE OF DERIVATIVE SECURITY 3. TRANSACTION DATE (MONTH/DAY/YEAR) 4. TRANSACTION CODE 5. NUMBER OF DERIVATIVE SECURITIES ACQUIRED(A) OR DISPOSED OF(D) (A) (D) -------------- ------------- 6. DATE EXERCISABLE AND EXPIRATION DATE (MONTH/DAY/YEAR) DATE EXERCISABLE EXPIRATION DATE ---------------- --------------- 7. TITLE AND AMOUNT OF UNDERLYING SECURITIES TITLE AMOUNT ------- -------- Weirton Steel Common Stock 284 shares 8. PRICE OF DERIVATIVE SECURITY 9. NUMBER OF DERIVATIVE SECURITIES BENEFICIALLY OWNED AT END OF MONTH 284 shares 10. OWNERSHIP FORM OF DERIVATIVE SECURITY: DIRECT(D) OR INDIRECT(I) Indirect 11. NATURE OF INDIRECT BENEFICIAL OWNERSHIP by United National Bank as Trustee for the Weirton Steel Corporation 1989 Employee Stock Ownership Plan -----END PRIVACY-ENHANCED MESSAGE-----