Filing Details
- Accession Number:
- 0001140361-11-017504
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-17 17:43:30
- Reporting Period:
- 2011-03-15
- Filing Date:
- 2011-03-17
- Accepted Time:
- 2011-03-17 17:43:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1489479 | Mark Adamson | C/O Douglas Dynamics, Inc. 7777 North 73Rd Street Milwaukee WI 53223 | Vp, Sales And Marketing | No | Yes | No | 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 | Acquisiton | 2011-03-15 | 5,278 | $4.21 | 18,821 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-03-16 | 2,872 | $14.18 | 15,949 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-03-17 | 2,406 | $13.70 | 13,543 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-03-15 | 5,278 | $0.00 | 5,278 | $4.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 74,233 | 2017-08-27 | No | 4 | M | Direct |
Footnotes
- The price in Column 4 is a weighted average price. The prices actually received ranged from $14.15 to $14.33. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $13.67 to $13.73. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing an average weighted price.
- The option is exercisable at any time in respect of 26,733 of the underlying shares. With respect to the other 47,500 underlying shares, 23,750 will vest and become exercisable on each of August 27, 2011, and August 27, 2012.
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