-----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, COOizzctvVWLraC0Thooa571YxVwlxwC17QMLfmrFq+Pk31mFKvuR0IcOhg4mETQ UEoOMnKwcrETTzYjExZnkg== 0000919574-03-000190.txt : 20030205 0000919574-03-000190.hdr.sgml : 20030205 20030205131906 ACCESSION NUMBER: 0000919574-03-000190 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030131 FILED AS OF DATE: 20030205 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001080382 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 7777 WASHINGTON VILLAGE DR STREET 2: STE 210 CITY: DAYTON STATE: OH ZIP: 45459 MAIL ADDRESS: STREET 1: 7777 WASHINGTON VILLAGE DR STREET 2: STE 210 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: 03540165 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 d382387_form-4.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check 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 Suttman II Robert J. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Eubel Brady & Suttman Asset Management, Inc. 7777 Washington Village Drive Suite 210 - -------------------------------------------------------------------------------- (Street) Dayton Ohio 45459 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Williams Controls, Inc. - WMCO - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year 1/31/03 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person 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 ================================================================================
5. Amount 6. 4. of Securities Owner- Securities Acquired (A) or Beneficially ship 3. Disposed of (D) Owned Form: 7. 2. Transaction (Instr. 3, 4 and 5) Following Direct Nature of Transaction Code ------------------------------- Reported (D) or Indirect 1. Date (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security (Month/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (Day/Year) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/31/03 S 129,800 D $0.30/sh 605,102* I ** - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock V 7,330 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship Deriv- Form 2. ative of Conver- 5. 7. Secur- Deriv- 11. sion Number of Title and Amount ities ative Nature or Derivative 6. of Underlying 8. Bene- Secur- of Exer- 4. Securities Date Securities Price ficially ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Owned Direct direct Price Trans- action or Disposed Expiration Date ---------------------- Deriv- Following (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative Reported In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity action(s) (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Series A-1 Con Pfd Stock $0.66 1/31/03 J*** 0 151,515 4/17/98 N/A Common Stock 2,121,212 I ** - ------------------------------------------------------------------------------------------------------------------------------------ Warrants $2.38 $2.38 V 0 0 3/31/00 3/31/03 Common Stock 28,000 I ** - ------------------------------------------------------------------------------------------------------------------------------------ Warrants $1.38 $1.38 V 0 0 3/01/01 3/01/04 Common Stock 862,500 I ** - ------------------------------------------------------------------------------------------------------------------------------------ Warrants $1.38 $1.38 V 0 0 3/01/01 3/01/04 Common Stock 25,000 D - ------------------------------------------------------------------------------------------------------------------------------------ Series A Warrants $3.13 V 0 0 7/22/99 7/22/04 Common Stock 38,181 3,074,893 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. *** On January 31, 2003, an investment advisory client of the Reporting Person terminated the services of the Reporting Person. /s/ Robert J. Suttman II February 4, 2003 - --------------------------------------------- ----------------------- Signature of Reporting Person Date Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 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 provided is insufficient, see Instruction 6 for procedure. Page 2 00843.0001 #382387 -----END PRIVACY-ENHANCED MESSAGE-----