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OMB Number 3235-0101 Expires: December 31, 2009 Estimated average burden hours per response 2.00 | |||||||||||||||||||
SEC USE ONLY | |||||||||||||||||||
DOCUMENT SEQUENCE NO. | |||||||||||||||||||
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CUSIP NUMBER | |||||||||||||||||||
ATTENTION: |
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. |
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1 (a) NAME OF ISSUER (Please type or print) |
(b) IRS IDENT. NO. |
(c) S.E.C. FILE NO. |
WORK LOCATION | ||||||||||||||||
Sparton Corporation |
38-1054690 |
1-1000 |
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1 (d) |
ADDRESS OF ISSUER |
STREET |
CITY |
STATE |
ZIP CODE |
(e) TELEPHONE NO. | |||||||||||||
425 N. Martingale Road, Suite 2050 |
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Schaumburg |
IL |
60173 |
AREA CODE |
NUMBER | |||||||||||||
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800 |
248-9579 | |||||||||||||
2 (a) |
NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD |
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(b) |
RELATIONSHIP TO ISSUER |
(c) |
ADDRESS STREET |
CITY |
STATE |
ZIP CODE | |||||||||
Sparton Corporation Pension Plan |
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Employee Pension Plan |
425 N. Martingale Road, Suite 2050 |
Schaumburg |
IL |
60173 | |||||||||||||
INSTRUCTION: The person filing this notice should contact the
issuer to obtain the I.R.S. Identification Number and the S.E.C. File
Number.
3 (a) | (b) | SEC USE ONLY | (c) | (d) | (e) | (f) | (g) | |||||||
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Title of the |
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Name and Address of Each Broker Through Whom the Securities are to
be Offered or Each Market Maker who is Acquiring the
Securities |
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Number of Shares |
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Aggregate |
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Number of Shares |
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Approximate Date of Sale |
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Name of Each Securities Exchange |
Broker-Dealer | ||||||||||||||
Common Stock |
Allegiant Asset Management Group |
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26,000 |
$117,000 |
9,951,507 |
See Remarks Section under Table II |
NYSE | |||||||
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INSTRUCTIONS:
1. |
(a) |
Name of issuer |
3. |
(a) |
Title of the class of securities to be sold |
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(b) |
Issuers I.R.S. Identification Number |
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(b) |
Name and address of each broker through whom the securities are intended to be sold |
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(c) |
Issuers S.E.C. file number, if any |
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(c) |
Number of shares or other units to be sold (if debt securities, give the aggregate face amount) |
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(d) |
Issuers address, including zip code |
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(d) |
Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice |
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(e) |
Issuers telephone number, including area code |
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(e) |
Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer |
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(f) |
Approximate date on which the securities are to be sold |
2. |
(a) |
Name of person for whose account the securities are to be sold |
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(g) |
Name of each securities exchange, if any, on which the securities are intended to be sold |
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(b) |
Such persons relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) |
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(c) |
Such persons address, including zip code |
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Potential persons who are to respond to the collection of information
contained in this form are not
required to respond unless the form displays a
currently valid OMB control number. SEC 1147 (02-08)
TABLE I SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the
securities to be sold
and with respect to the payment of all or any part of the
purchase price or other consideration therefor:
Title of the Class |
Date You Acquired |
Nature of Acquisition Transaction |
Name of Person from Whom Acquired |
Amount of Securities Acquired |
Date of Payment |
Nature of Payment |
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Not applicable |
319,100 |
Same |
Cash |
INSTRUCTIONS: |
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If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. |
TABLE II SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Amount of | ||||||||||||||||||||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Securities Sold | Gross Proceeds | ||||||||||||||||||
Sparton Corporation Pension Plan |
Common Stock | 07/08/09 | 2,000 | $ | 5,996.84 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 07/10/09 | 2,000 | $ | 5,895.52 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 07/17/09 | 2,000 | $ | 5,533.85 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 07/24/09 | 2,000 | $ | 5,757.85 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 07/31/09 | 2,000 | $ | 5,626.85 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 08/07/09 | 2,000 | $ | 5,946.84 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 08/14/09 | 2,000 | $ | 5,641.85 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 08/21/09 | 2,000 | $ | 5,329.86 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Amount of | ||||||||||||||||||||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Securities Sold | Gross Proceeds | ||||||||||||||||||
Sparton Corporation Pension Plan |
Common Stock | 08/28/09 | 2,000 | $ | 5,569.85 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 09/04/09 | 2,000 | $ | 6,100.12 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 09/11/09 | 2,000 | $ | 6,414.83 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 09/18/09 | 2,000 | $ | 8,443.41 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 09/25/09 | 2,000 | $ | 7,729.79 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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Sparton Corporation Pension Plan |
Common Stock | 09/29/09 | 2,000 | $ | 8,229.78 | |||||||||||||||||
425 N. Martingale Road, Suite 2050 Schaumburg, IL 60173 |
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REMARKS:
The sales of stock contemplated by the filing are to be made pursuant to a Rule 10b5-1 trading plan between Allegiant Asset Management Group and the Sparton Corporation Pension Plan adopted as of June 29, 2009 (the Plan). Under the Plan, Seller intends to sell the shares on a periodic basis during the 90-day period following the filing of this Form 144. | ||
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INSTRUCTIONS: |
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ATTENTION: |
See the definition of person in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
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The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any materiel adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If each person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. |
October 2, 2009 |
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/s/ Greg Slome |
DATE OF NOTICE |
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(SIGNATURE) |
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Greg Slome, Chief Financial Officer, Sparton Corporation Plan Administrator The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. |
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1 |
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