Filing Details
- Accession Number:
- 0001104659-10-029192
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-17 13:00:00
- Reporting Period:
- 2010-05-14
- Filing Date:
- 2010-05-17
- Accepted Time:
- 2010-05-17 21:18:44
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1287213 | Douglas Dynamics Inc | PLOW | Construction Machinery & Equip (3531) | 134275891 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1189523 | Ares Corporate Opportunities Fund Lp | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1230743 | Acof Management Lp | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1259042 | Ares Partners Management Co Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1259313 | Ares Management Llc | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No | |
1259315 | Acof Operating Manager Lp | 2000 Avenue Of The Stars 12Th Floor Los Angeles CA 90067 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 Per Share | Acquisiton | 2010-05-14 | 2,006 | $4.21 | 3,650,742 | No | 4 | M | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2010-05-14 | 741 | $11.40 | 3,650,001 | No | 4 | D | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2010-05-14 | 473,235 | $10.49 | 3,176,766 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | D | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 Per Share | Stock Option | Disposition | 2010-05-14 | 2,006 | $0.00 | 15,634 | $4.21 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
13,628 | 2015-01-14 | No | 4 | M | Direct |
Footnotes
- The general partner of Ares Corporate Opportunities Fund, L.P. ("ACOF") is ACOF Management, L.P. ("ACOF Management") and the general partner of ACOF Management is ACOF Operating Manager, L.P. ("ACOF Operating Manager"). ACOF Operating Manager is indirectly controlled by Ares Management LLC ("AM LLC"), which, in turn, is indirectly controlled by Ares Partners Management Company LLC ("APMC" and, together with ACOF, ACOF Management, ACOF Operating Manager and AM LLC, the "Ares Entities").
- APMC is managed by an executive committee. Each of the Ares Entities (other than ACOF, with respect to the securities held by ACOF) and the partners, members and managers of the ACOF Entities and the executive committee of APMC expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purposes. The address of each Ares Entity is 2000 Avenue of the Stars, 12th Floor, Los Angeles, CA 90067.
- Price reflects the net price per share of additional common stock sold as a result of the underwriters' exercise of their over-allotment option, after excluding underwriting discounts and commissions of $0.759 per share. The Form 4 filed by the Reporting Persons on May 10, 2010 listed a price to the public of $11.25 per share for the common stock sold, which, after excluding such underwriting discounts and commissions, results in a net price per share of $10.49.
- These options are fully vested and can be exercised at any time.