Statement of Changes in Beneficial Ownership (4)
September 20 2021 - 01:43PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * MITAROTONDA JAMES
A |
2. Issuer Name and Ticker or Trading
Symbol EASTERN CO [ EML ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
888 SEVENTH AVENUE 6TH FL |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/17/2021
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(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Shares (1) |
9/17/2021 |
|
A |
|
1251 |
A |
$24.98 |
17934 |
D |
|
Common Shares |
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|
|
|
|
|
|
583748 |
I |
By Barington Companies Equity Partners,
L.P. (2)(3) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
1,251 shares acquired under
The Eastern Company Director's Fee Program pursuant to Rule
16b-3(d). The price used to determine the number of shares is the
price of the shares on September 15, 2021. |
(2) |
The Reporting Person is the
sole stockholder and director of LNA Capital Corp. LNA Capital Corp
is the general partner of Barington Capital Group, L.P., which is
the majority member of Barington Company Investors, LLC ("Barington
Investors"). Barington Investors is the general partner of
Barington Companies Equity Partners, L.P. |
(3) |
The Reporting Person
disclaims beneficial ownership of these securities, except to the
extent of his pecuniary interest therein, and this report shall not
be deemed to be an admission that the Reporting Person is the
beneficial owner of these shares for purposes of Section 16 or for
any other purpose. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
MITAROTONDA JAMES A
888 SEVENTH AVENUE 6TH FL
NEW YORK, NY 10019 |
X |
|
|
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Signatures
|
/s/James A. Mitarotonda |
|
9/20/2021 |
**Signature of
Reporting Person |
Date |
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