-----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, NCleMS8Nmwdm/oWiJ5vGSzCpNkjFZiSMadJRN603m+l4nVFyAuCS3bGU6/VLuuYq q0S7sXMumHz3TomHje2mYw== 0000919574-02-000014.txt : 20020413 0000919574-02-000014.hdr.sgml : 20020413 ACCESSION NUMBER: 0000919574-02-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011207 FILED AS OF DATE: 20020108 COMPANY DATA: COMPANY CONFORMED NAME: BRADY MARK E CENTRAL INDEX KEY: 0001024613 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 271741159 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O SUTTMAN ASSET MANAGEMENT CO STREET 2: 7777 WASHINGTON VILLAGE DR CITY: DAYTON STATE: OH ZIP: 45459 BUSINESS PHONE: 5132911223 MAIL ADDRESS: STREET 1: C/O SOUTHERN ASSET MANAGEMENT CO STREET 2: 7777 WASHINGTON VILLAGE DR CITY: DAYTON STATE: OH ZIP: 45459 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WILLIAMS CONTROLS INC CENTRAL INDEX KEY: 0000854860 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLE PARTS & ACCESSORIES [3714] IRS NUMBER: 841099587 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-18083 FILM NUMBER: 2504289 BUSINESS ADDRESS: STREET 1: 14100 SW 72ND AVENUE CITY: PORTLAND STATE: OR ZIP: 97224 BUSINESS PHONE: 5036848600 MAIL ADDRESS: STREET 1: 14100 SW 72ND AVENUE CITY: PORTLAND STATE: OR ZIP: 97224 4 1 eu00843001aj7.txt UNITED STATES 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 Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person Mark E. Brady c/o Eubel Brady & Suttman Asset Management, Inc. 7777 Washington Village Drive Suite 210 Dayton, Ohio 45459 2. Issuer Name and Ticker or Trading Symbol Williams Controls, Inc. WMCO 3. IRS Number of Reporting Person (Voluntary) 4. Statement for Month/Year 12/01 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s)to Issuer (Check all applicable) ( ) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. 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| 2. Transaction| 3. Transaction| 4. Securities | 5. Amount of | 6. Ownership |7. Nature of | (Instr. 3) | Date | Code | Acquired (A) | Securities | Form: | Indirect | | | (Instr. 8) | or Disposed | Beneficially | Direct (D) | Beneficial| | (Month/ | | of (D) | Owned at End | or Indirect| Ownership | | Day/ | | (Instr. 3,4, | of Month | (I) | (Instr. 4)| | Year) | | and 5) | (Instr. 3 and 4)| (Instr. 4) | | | | | | |(A) or| | | | | | | Code | V | Amount|(D) |Price| | | | _________________________________________________________________________________________________________________________________ Common Stock 12/07/01 S 4,900*** D $0.51/sh 763,142* I ** Common Stock 12/20/01 S 4,000*** D $0.50/sh 763,142* I ** - ---------------------------------------------------------------------------------------------------------------------------------
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of | 6. Date Exer- | 7. Title and Amount | Derivative | sion or | action | action | Derivative | cisable and | of Underlying | Security | Exercise | Date | Code | Securities | Expiration | Securities | (Instr. 3) | Price of | (Month/ | (Instr. | Acquired | Date | (Instr. 3 and 4) | | Deri- | Date/ | 8) | (A) or | (Month/Day/ | | | vative | Year) | | Disposed of | Year) | | | Security | | | (D) (Instr. | | | | | | | 3, 4 and 5) | | | | | |____________|_________________|___________________|_____________________| | | | | | | | | | | | | | | | | | | Date | Expira- | | Amount or | | | | | | | | Exer- | tion | | Number of | | | | Code | V | (A) | (D) | cisable | Date | Title | Shares | ___________________|_____________|____________|______|_____|________|________|_________|_________|________|____________| Series A Con Pfd Stock $2.75 12/20/01 V 0 0 4/17/98 Common 545,455 Stock Conv. Sub. $2.00 12/20/01 V 0 0 4/19/00 Common 140,000 Deb. 7.5% Stock Warrants $2.38 $2.38 12/20/01 V 0 0 3/31/03 Common 28,000 Stock Warrants $1.38 $1.38 12/20/01 V 0 0 3/01/02 Common 862,500 Stock Warrants $1.38 $1.38 12/20/01 V 0 0 3/01/02 Common 25,000 Stock Series A $3.13 12/20/01 V 0 0 7/22/02 Common 38,181 Warrants Stock
8. Price of 9. Number of 10. Ownership 11. Nature of Derivative derivative Form of Indirect Security Securities Derivative Beneficial (Instr. 5) Benefi- Security Ownership cially Direct (D) (Instr. 4) Owned at or Indirect End of (I) (Instr. Month 4) (Instr. 4) I ** I ** I ** I ** D 1,639,136 I **
Explanation of Responses: * The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. ** General Partner or Principal of Investment Manager. *** Open market sale for Advisory Client. Signature of Reporting Person: /s/ Mark E. Brady __________________________ Mark E. Brady Date: January 8, 2002 **** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 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 sufficient, see Instruction 6 for procedure. 00843001.AJ7 -----END PRIVACY-ENHANCED MESSAGE-----