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
  1. 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").
  2. 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.
  3. 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.
  4. These options are fully vested and can be exercised at any time.