0001209191-14-014729.txt : 20140227 0001209191-14-014729.hdr.sgml : 20140227 20140227113428 ACCESSION NUMBER: 0001209191-14-014729 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140224 FILED AS OF DATE: 20140227 DATE AS OF CHANGE: 20140227 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TUFCO TECHNOLOGIES INC CENTRAL INDEX KEY: 0000895329 STANDARD INDUSTRIAL CLASSIFICATION: CONVERTED PAPER & PAPERBOARD PRODS (NO CONTAINERS/BOXES) [2670] IRS NUMBER: 391723477 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 3161 S. RIDGE ROAD CITY: GREEN BAY STATE: WI ZIP: 54304 BUSINESS PHONE: 9203360054 MAIL ADDRESS: STREET 1: P.O. BOX 23500 CITY: GREEN BAY STATE: WI ZIP: 54305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHEELER MICHAEL B CENTRAL INDEX KEY: 0001074616 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21018 FILM NUMBER: 14647398 MAIL ADDRESS: STREET 1: 150 N MICHIGAN AVE CITY: CHICAGO STATE: IL ZIP: 60601 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-24 1 0000895329 TUFCO TECHNOLOGIES INC TFCO 0001074616 WHEELER MICHAEL B P.O. BOX 23500 GREEN BAY WI 54305 0 1 0 0 See Remarks Options to Buy 0.00 2014-02-24 2014-02-24 4 D 0 9000 0.00 D 2014-02-24 2014-11-19 Common Stock 9000 35500 D Options to Buy 0.00 2014-02-24 2014-02-24 4 D 0 6000 0.00 D 2014-02-24 2017-10-01 Common Stock 6000 29500 D Options to Buy 0.51 2014-02-24 2014-02-24 4 D 0 6000 0.00 D 2014-02-24 2018-09-03 Common Stock 6000 23500 D Options to Buy 2.88 2014-02-24 2014-02-24 4 D 0 3500 0.00 D 2014-02-24 2019-11-30 Common Stock 3500 20000 D Options to Buy 2.82 2014-02-24 2014-02-24 4 D 0 5000 0.00 D 2014-02-24 2020-09-14 Common Stock 5000 15000 D Options to Buy 2.17 2014-02-24 2014-02-24 4 D 0 5000 0.00 D 2014-02-24 2021-08-24 Common Stock 5000 10000 D Options to Buy 2.82 2014-02-24 2014-02-24 4 D 0 10000 0.00 D 2014-02-24 2022-05-24 Common Stock 10000 0 D The price listed represents the difference between the exercise price of the options, $7.87, and the merger consideration of $6.07 at which all shares of common stock were cancelled and exchanged for the said merger consideration (the "Merger") pursuant to the Agreement and Plan of Merger, dated as of December 20, 2013, by and among Tufco Holdings, LLC, Packers Acquisition Sub, Inc. and Tufco Technologies, Inc. (the "Merger Agreement"). As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0. The price listed represents the difference between the exercise price of the options, $7.60, and the Merger consideration pursuant to the Merger Agreement, $6.07. As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0. The price listed represents the difference between the exercise price of the options, $5.56, and the Merger consideration pursuant to the Merger Agreement, $6.07. The price listed represents the difference between the exercise price of the options, $3.19, and the Merger consideration pursuant to the Merger Agreement, $6.07. The price listed represents the difference between the exercise price of the options, $3.25, and the Merger consideration pursuant to the Merger Agreement, $6.07. The price listed represents the difference between the exercise price of the options, $3.90, and the Merger consideration pursuant to the Merger Agreement, $6.07. The price listed represents the difference between the exercise price of the options, $3.25, and the Merger consideration pursuant to the Merger Agreement, $6.07. CFO/Vice President (through October 1, 2013) /s/ Michael B. Wheeler 2014-02-26