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DOUGLAS DYNAMICS, INC — Director's Dealing 2011
Jan 5, 2011
32507_dirs_2011-01-05_1e652c99-3d57-4bfa-9a7b-4ffae6d56c3e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DOUGLAS DYNAMICS, INC (PLOW)
CIK: 0001287213
Period of Report: 2011-01-03
Reporting Person: Janik James L (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-01-03 | Common Stock | A | 27002 | — | Acquired | 204520 | Direct |
| 2011-01-05 | Common Stock | S | 1500 | $14.8655 | Disposed | 203020 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $4.21 | 2014-09-04 | Common Stock (169153) | 169153 | Direct |
Footnotes
F1: Includes 9,530 shares that will vest in two equal annual installments beginning on January 3, 2012 and 14,295 shares that will vest in three equal annual installments beginning on January 3, 2012.
F2: The price in Column 4 is a weighted average price. The prices actually received ranged from $14.85 to $14.99. 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 a weighted average price.
F3: These stock options are fully vested and can be exercised at any time.