Filing Details
- Accession Number:
- 0001179110-11-008535
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-23 19:54:38
- Reporting Period:
- 2011-05-20
- Filing Date:
- 2011-05-23
- Accepted Time:
- 2011-05-23 19:54:38
- 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 |
|---|---|---|---|---|---|---|---|
| 1098913 | P L Ii Partners Capital Aurora | 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1256531 | L Gerald Parsky | C/O Aurora Equity Partners Ii Lp 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1335251 | Aurora Equity Partners Ii Lp | 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1335252 | Aurora Overseas Equity Partners Ii Lp | 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1335254 | Aurora Overseas Capital Partners Ii Lp | 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1335255 | Aurora Advisors Ii Llc | 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1335256 | Ldc Ii Advisors Overseas Aurora | 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | No | Yes | No | |
| 1335349 | T John Mapes | C/O Aurora Equity Partners Ii Lp 10877 Wilshire Blvd. Suite 2100 Los Angeles CA 90024 | No | 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 | Disposition | 2011-05-20 | 2,973,575 | $14.20 | 1,511,959 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-05-20 | 12,389 | $14.20 | 6,300 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-05-20 | 4,956 | $14.20 | 2,520 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- Consists of 2,934,622 shares sold by Aurora Equity Partners II L.P. ("AEPII") and 38,953 shares sold by Aurora Overseas Equity Partners II, L.P. ("AOEPII").
- Consists of 1,492,152 shares held by AEPII and 19,807 shares held by AOEPII.
- Aurora Capital Partners II LP ("ACPII") is the general partner of AEPII. Aurora Overseas Capital Partners II, LP ("AOCPII") is the general partner of AOEPII. Aurora Advisors II LLC ("AAII") is the general partner of ACPII. Aurora Overseas Advisors II, LDC ("AOAII") is the general partner of AOCPII. AEPII, AOEPII, ACPII, AOCPII, AAII, and AOAII are collectively referred to as the "Aurora Entities." In their capacities as direct or indirect general partners of AEPII and/or AOEPII, ACPII, AOCPII, AAII, and AOAII may be deemed to have a pecuniary interest in an indeterminable portion of the shares owned or controlled by AEPII and AOEPII. ACPII, AOCPII, AAII, and AOAII disclaim beneficial ownership of all such shares except to the extent that they may be deemed to have a pecuniary interest therein.
- Messrs. Mapes and Parsky are controlling persons of the Aurora Entities. As such, they may be deemed to have a pecuniary interest in an indeterminable portion of the shares owned or controlled by the Aurora Entities. Messrs. Mapes and Parsky disclaim beneficial ownership of all such shares except to the extent that they may be deemed to have a pecuniary interest therein.
- These securities are owned solely by Mr. Parsky through a 401(k) account.
- These securities are owned solely by Mr. Mapes through a 401(k) account.
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