KATY SEC-arkivering - Katy Industries, Inc.- Årsrapport, fuldmagtserklæring, prospekt

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Katy Industries, Inc.

SEC Filings (Chronological Order)

Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.

May 4, 2018	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 59) KII Liquidating Inc. (formerly Katy Industries, Inc.) (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, A
December 7, 2017	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 7, 2017 (November 28, 2017) KII Liquidating Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-05558 (Com
December 7, 2017	EX-99.1	IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE x : In re: : Chapter 11 : Case No. 17-11101 (KJC) KII Liquidating Inc. (f/k/a Katy Industries, : Inc.), et al.1 : (Jointly Administered) Debtors. Reporting Period: Oct. 1 to Oct. 31,2 Exhibit 99.1 Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re; KII Liquidating Inc. (f/k/a In re Katy Industries, Inc.), et al. Case No. 17-11101 (KJC) Reporting Period: October 1 to October 31,2017 MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Form No. Attached Attached Attached Schedule of Cash Receipts and Disbursements MOR-1 YES Cer
November 13, 2017	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a17-2641618k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 13, 2017 (November 6, 2017) KII Liquidating Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of in
November 13, 2017	EX-99.1	UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE KII Liquidating Inc. (flkla In re Katy Industries, Inc.) Case No. 17-11101 (KJC) Reporting Period: August 27, 2017 to September 30,2017 MONTHLY OPERATING REPORT Document Explanation Affidavit/Supple Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE KII Liquidating Inc. (flkla In re Katy Industries, Inc.) Case No. 17-11101 (KJC) Reporting Period: August 27, 2017 to September 30,2017 MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement Attached Attached Attached REQUIRED DOCUMENTS Form No This Monthly Operating Report has been prepared solely for the purpose of comp
September 29, 2017	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 29, 2017 (September 26, 2017) KII Liquidating Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-05558 (
September 29, 2017	EX-99.1	UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE Case No. 17-11101 (KJC) Reporting Period: July 29,2017 to August 26, 2017 In re Katy Industries, Inc., et al. MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Fo Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE Case No. 17-11101 (KJC) Reporting Period: July 29,2017 to August 26, 2017 In re Katy Industries, Inc., et al. MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Form No Attached Attached Attached This Monthly Operating Report has been prepared solely for the purpose of complying with the monthly rep
September 22, 2017	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events 8-K 1 a17-2151018k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 22, 2017 (August 28, 2017) KII Liquidating Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or oth
September 22, 2017	EX-99.1	IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE X : Chapter 11 In re: : Case No. 17-11101 (KJC) : (Jointly Administered) KATY INDUSTRIES, INC., et al.,(1) : : Reporting Period: July 1 2017 to July 28, 2017 Debtors. : X GENERAL NOTE Exhibit 99.1 Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re Katy Industries, lnc., et al. Case No. 17-11101 (KJC) Reporting Period: July 1 to July 28, 2017 MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Form No. Attached Attached Attached Schedule of Cash Receipts and Disbursements MOR-1 YES Certification of Bank Account Reconciliation
August 22, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 22, 2017 (August 9, 2017) Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-05558 (Commis
August 22, 2017	EX-99.1	UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re Katy Industries, lnc., et al. Case No. 17-11101 (KJC) Reporting Period: May 27, 2017 to June 30, 2017 MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Form No. Attached Attached Attached Schedule of Cash Receipts and Disbursements MOR-1 YES Certification of Bank Account Reconciliation MOR-1a
August 8, 2017	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 58) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of P
July 31, 2017	SC 13D/A	KATY / Katy Industries, Inc. / Victory Park Capital Advisors, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* KATY INDUSTRIES, INC. (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 486026107 (CUSIP Number) Scott R. Zemnick, Esq. Victory Park Capital Advisors, LLC 227 W. Monroe Street, Suite 3900 Chicago, Illinois 60606 (312
July 10, 2017	EX-99.1	UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE EX-99.1 2 a17-99242ex99d1.htm EX-99.1 Exhibit 99.1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In re Katy Industries, Inc., et al. Case No. 17-11101 (KJC) Reporting Period: Petition Date to May 26, 2017 MONTHLY OPERATING REPORT Document Explanation Affidavit/Supplement REQUIRED DOCUMENTS Form No. Attached Attached Attached Schedule of Cash Receipts and Disbursements MOR-1 X Certification o
July 10, 2017	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 10, 2017 (July 6, 2017) Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-05558 (Commission
June 12, 2017	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 57) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of P
May 26, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 26, 2017 (May 13, 2017) Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-05558 (Commission
May 19, 2017	SC 13D/A	KATY / Katy Industries, Inc. / Victory Park Capital Advisors, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* KATY INDUSTRIES, INC. (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 486026107 (CUSIP Number) Scott R. Zemnick, Esq. Victory Park Capital Advisors, LLC 227 W. Monroe Street, Suite 3900 Chicago, Illinois 60606 (312
May 18, 2017	EX-99.1	Katy Industries, Inc. Enters into Asset Purchase Agreement for the Sale of Substantially All of Its Operations and Assets to Create a Sustainable Financial Structure Files Voluntary Chapter 11 Petitions to Facilitate Sale with a Commitment for $7.5 m EX-99.1 4 a17-134081ex99d1.htm EX-99.1 Exhibit 99.1 Katy Industries, Inc. Enters into Asset Purchase Agreement for the Sale of Substantially All of Its Operations and Assets to Create a Sustainable Financial Structure Files Voluntary Chapter 11 Petitions to Facilitate Sale with a Commitment for $7.5 million in DIP Financing to Support Operations St. Louis, MO — May 14, 2017 — Katy Industries, Inc.
May 18, 2017	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2017 (May 13, 2017) Katy UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2017 (May 13, 2017) Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-05558 (Commission
May 18, 2017	EX-2.1	ASSET PURCHASE AGREEMENT BY AND AMONG KATY INDUSTRIES, INC., CONTINENTAL COMMERCIAL PRODUCTS, LLC, FTW HOLDINGS, INC., FORT WAYNE PLASTICS, INC., AS SELLERS - and - JANSAN ACQUISITION, LLC, AS PURCHASER Dated as of May 14, 2017 EX-2.1 2 a17-134081ex2d1.htm EX-2.1 Exhibit 2.1 EXECUTION VERSION ASSET PURCHASE AGREEMENT BY AND AMONG KATY INDUSTRIES, INC., CONTINENTAL COMMERCIAL PRODUCTS, LLC, FTW HOLDINGS, INC., and FORT WAYNE PLASTICS, INC., AS SELLERS - and - JANSAN ACQUISITION, LLC, AS PURCHASER Dated as of May 14, 2017 TABLE OF CONTENTS Page Article I DEFINITIONS 2 Section 1.1. Recitals 2 Section 1.2. Definitions 2 Arti
May 18, 2017	EX-10.1	DEBTOR-IN-POSSESSION CREDIT AND SECURITY AGREEMENT Dated as of May 17, 2017 KATY INDUSTRIES, INC., a Delaware corporation and a debtor and debtor-in-possession, CONTINENTAL COMMERCIAL PRODUCTS, LLC, a Delaware limited liability company and a debtor a Exhibit 10.1 DEBTOR-IN-POSSESSION CREDIT AND SECURITY AGREEMENT Dated as of May 17, 2017 among KATY INDUSTRIES, INC., a Delaware corporation and a debtor and debtor-in-possession, CONTINENTAL COMMERCIAL PRODUCTS, LLC, a Delaware limited liability company and a debtor and debtor-in-possession, FTW HOLDINGS, INC., a Delaware corporation and a debtor and debtor-in-possession, FORT WAYNE PLASTICS, INC
May 17, 2017	NT 10-Q	Katy Industries NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-05558 CUSIP Number: 486026107 (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: March 31, 2017 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Tran
April 28, 2017	SC 13D/A	KATY / Katy Industries, Inc. / Victory Park Capital Advisors, LLC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* KATY INDUSTRIES, INC. (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 486026107 (CUSIP Number) Scott R. Zemnick, Esq. Victory Park Capital Advisors, LLC 227 W. Monroe Street, Suite 3900 Chicago, Illinois 60606 (312
April 7, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 8-K 1 a17-1098318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 7, 2017 (April 3, 2017) Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jur
April 7, 2017	EX-10.2	April 3, 2017 Exhibit 10.2 April 3, 2017 Katy Industries, Inc. 11840 Westline Industrial Drive, Suite 200 St. Louis, Missouri 63146 Attn: Robert Guerra, President and Chief Executive Officer Re: Credit and Security Agreement, dated as of November 16, 2016, among Katy Industries, Inc. and the other Borrower parties thereto (collectively, the ?Borrowers?), Encina Business Credit SPV, LLC, as Agent (?Agent?) and t
April 7, 2017	EX-10.1	SIXTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT Exhibit 10.1 SIXTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT This SIXTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT (this ?Agreement?) is entered into and effective as of April 3, 2017, by and among Katy Industries, Inc., a Delaware corporation (the ?Company?), Continental Commercial Products, LLC, a Delaware limited liability company (?CCP?), FTW Holdings, Inc., a Delaware
April 3, 2017	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 56) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of P
March 31, 2017	NT 10-K	Katy Industries NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-05558 CUSIP Number: 486026107 (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2016 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o T
January 30, 2017	8-K	Katy Industries (Current Report/Significant Event) Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
January 30, 2017	EX-10.1	AMENDMENT NO. 1 TO CREDIT AND SECURITY AGREEMENT EX-10.1 2 e615701ex10-1.htm Exhibit 10.1 AMENDMENT NO. 1 TO CREDIT AND SECURITY AGREEMENT THIS AMENDMENT NO. 1 TO CREDIT AND SECURITY AGREEMENT (this "Amendment") is entered into as of January 24, 2017, among KATY INDUSTRIES, INC., a Delaware corporation (the "Company;"), CONTINENTAL COMMERCIAL PRODUCTS, LLC, a Delaware limited liability company ("CCP"), 2155735 ONTARIO INC., an Ontario corporatio
January 26, 2017	SC 13G/A	KATY / Katy Industries, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Katy Industries, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
January 24, 2017	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 55) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of P
December 20, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 21, 2016	10-Q	Katy Industries KATY INDUSTRIES, INC. 10-Q 9-30-2016 (Quarterly Report) United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 30, 2016 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries,
November 21, 2016	EX-10.3	CREDIT AND SECURITY AGREEMENT Dated as of November 16, 2016 KATY INDUSTRIES, INC., A DELAWARE CORPORATION, CONTINENTAL COMMERCIAL PRODUCTS, LLC, A DELAWARE LIMITED LIABILITY COMPANY, FTW HOLDINGS, INC., A DELAWARE CORPORATION, FORT WAYNE PLASTICS, IN Exhibit 10.3 CREDIT AND SECURITY AGREEMENT Dated as of November 16, 2016 among KATY INDUSTRIES, INC., A DELAWARE CORPORATION, CONTINENTAL COMMERCIAL PRODUCTS, LLC, A DELAWARE LIMITED LIABILITY COMPANY, FTW HOLDINGS, INC., A DELAWARE CORPORATION, FORT WAYNE PLASTICS, INC., AN INDIANA CORPORATION, 2155735 ONTARIO INC., AN ONTARIO CORPORATION, CCP CANADA INC., AN ONTARIO CORPORATION, as Borrowers, CE
November 21, 2016	EX-10.4	EHXIBIT A TO FIFTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT DATED NOVEMBER 16, 2016 SECOND LIEN CREDIT AND SECURITY AGREEMENT Dated as of April 7, 2015 KATY INDUSTRIES, INC., A DELAWARE CORPORATION CONTINENTAL COMMERCIAL PRODUCTS, LLC, EX-10.4 3 ex104.htm EXHIBIT 10.4 Exhibit 10.4 ANYTHING HEREIN TO THE CONTRARY NOTWITHSTANDING, THE OBLIGATIONS, LIENS AND SECURITY INTERESTS EVIDENCED BY THIS AGREEMENT, THE EXERCISE OF ANY RIGHT OR REMEDY WITH RESPECT THERETO, AND CERTAIN OF THE RIGHTS OF THE CREDIT PARTIES HEREUNDER ARE SUBJECT TO THE PROVISIONS OF THE INTERCREDITOR AND SUBORDINATION AGREEMENT DATED AS OF NOVEMBER 16, 2016 (AS A
November 15, 2016	NT 10-Q	Katy Industries KATY INDUSTRIES, INC. NT 10-Q 9-30-2016 NT 10-Q 1 formnt10q.htm KATY INDUSTRIES, INC. NT 10-Q 9-30-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number 3235-0058 Expires October 31, 2018 Estimated average burden hours per response 2.50 SEC FILE NUMBER 000-05558 CUSIP NUMBER 486026107 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form
November 14, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 8-K 1 e6155698k-katy.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 9, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-0555
November 14, 2016	EX-10.1	KATY INDUSTRIES, INC. EMPLOYMENT AGREEMENT EX-10.1 2 e615569ex10-1.htm Exhibit 10.1 KATY INDUSTRIES, INC. EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into this 9th day of November, 2016, between Katy Industries, Inc. (the “Company”) and Robert Guerra (“you”). RECITAL WHEREAS, the operation of the Company and its affiliates are a complex matter requiring direction and leadership in a variety of arenas, inclu
October 27, 2016	8-K	Katy Industries (Current Report/Significant Event) Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
October 19, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 23, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers Unassociated Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
September 16, 2016	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 12, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commissio
September 16, 2016	EX-3.1	KATY INDUSTRIES, INC. SECOND AMENDED AND RESTATED BY-LAWS ARTICLE I Exhibit 3.1 KATY INDUSTRIES, INC. SECOND AMENDED AND RESTATED BY-LAWS ARTICLE I OFFICES Section 1. The registered office shall be in the city of Wilmington, County of New Castle, State of Delaware. Section 2. The corporation may also have offices at such other places both within and without the State of Delaware as the board of directors may from time to time determine or the business of the corpo
September 13, 2016	10-Q	Katy Industries KATY INDUSTRIES, INC 10-Q 7-1-2016 (Quarterly Report) United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 1, 2016 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc.
September 2, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 30, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission F
September 2, 2016	SC 14F1	Katy Industries KATY INDUSTRIES, INC. SC 14F1 9-2-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14F-1 INFORMATION STATEMENT PURSUANT TO SECTION 14(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 14F-1 THEREUNDER KATY INDUSTRIES, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation or organization) Commission File Number (I.R.S.
August 22, 2016	EX-1	STOCK PURCHASE AGREEMENT Exhibit 1 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated as of August 11, 2016, is entered into by and between (i) KKTY Holding Company, L.
August 22, 2016	EX-99	Joint Filer Information Unassociated Document Joint Filer Information Names: VPC SBIC I, LP, VPC SBIC GP, LLC, Jacob Capital, L.
August 22, 2016	SC 13D	KATY / Katy Industries, Inc. / Victory Park Capital Advisors, LLC Activist Investment SC 13D 1 e615303sc13d-katy.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* KATY INDUSTRIES, INC. (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 486026107 (CUSIP Number) Scott R. Zemnick, Esq. Victory Park Capital Advisors, LLC 227 W. Monroe Street, Suite 390
August 22, 2016	EX-1	STOCK PURCHASE AGREEMENT Exhibit 1 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), dated as of August 11, 2016, is entered into by and between (i) KKTY Holding Company, L.
August 22, 2016	SC 13D	KATY / Katy Industries, Inc. / Victory Park Capital Advisors, LLC Activist Investment SC 13D 1 e615303sc13d-katy.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* KATY INDUSTRIES, INC. (Name of Issuer) Common Stock, par value $1.00 per share (Title of Class of Securities) 486026107 (CUSIP Number) Scott R. Zemnick, Esq. Victory Park Capital Advisors, LLC 227 W. Monroe Street, Suite 390
August 17, 2016	EX-3.1	KATY INDUSTRIES, INC. AMENDED AND RESTATED BY-LAWS ARTICLE I EX-3.1 2 ex31.htm EXHIBIT 3.1 Exhibit 3.1 KATY INDUSTRIES, INC. AMENDED AND RESTATED BY-LAWS ARTICLE I OFFICES Section 1. The registered office shall be in the city of Wilmington, County of New Castle, State of Delaware. Section 2. The corporation may also have offices at such other places both within and without the State of Delaware as the board of directors may from time to time determine or th
August 17, 2016	EX-10.1	AMENDMENT NO. 4 AND FORBEARANCE AGREEMENT Exhibit 10.1 AMENDMENT NO. 4 AND FORBEARANCE AGREEMENT This AMENDMENT NO. 4 AND FORBEARANCE AGREEMENT (this ? Agreement?) dated as of August 11, 2016, by and among Katy Industries, Inc., a Delaware corporation, Continental Commercial Products, LLC, a Delaware limited liability company, 2155735 Ontario Inc., an Ontario corporation, CCP Canada Inc., an Ontario corporation, FTW Holdings, Inc., a Dela
August 17, 2016	EX-10.2	FOURTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT Exhibit 10.2 FOURTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT This FOURTH AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT (this ? Agreement ?) is entered into and effective as of August 11, 2016, by and among Katy Industries, Inc., a Delaware corporation (the ? Company?), Continental Commercial Products, LLC, a Delaware limited liability company (? CCP?), FTW Holdings, Inc., a
August 17, 2016	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 12, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fil
August 16, 2016	NT 10-Q	Katy Industries NONE Form 12b-25: Notification of Late Filing United States Securities and Exchange Commission Washington, D.
August 16, 2016	NT 10-Q	Katy Industries NONE Form 12b-25: Notification of Late Filing United States Securities and Exchange Commission Washington, D.
July 1, 2016	LETTER	LETTER Mail Stop 3030 July 1, 2016 Via E-mail Curt Kroll Vice President, Treasurer and Chief Financial Officer Katy Industries, Inc.
June 30, 2016	CORRESP	Katy Industries ESP CORRESP 1 filename1.htm K A T Y I N D U S T R I E S, I N C. 11840 Westline Industrial Drive Suite 200 St. Louis, MO 63146 Telephone: (314) 739-8585 Facsimile: (314) 656-4398 June 30, 2016 United States Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Mail Stop 3030 Attn: Kevin J. Kuhar – Accounting Branch Chief Office of Electronics and
June 21, 2016	LETTER	LETTER Mail Stop 3030 June 21, 2016 Via E-mail Mr. Curt Kroll Vice President, Treasurer and Chief Financial Officer Katy Industries, Inc. 11840 Westline Industrial Drive St. Louis, Missouri 63146 Re: Katy Industries, Inc. Form 10-K for the Fiscal Year Ended December 31, 2015 Filed March 30, 2016 Form 8-K filed May 3, 2016 File No. 001-05558 Dear Mr. Kroll: We have limited our review of your filing to the
June 1, 2016	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
May 3, 2016	10-Q	Katy Industries KATY INDUSTRIES 10-Q 4-1-2016 (Quarterly Report) United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: April 1, 2016 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc.
May 3, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm KATY INDUSTRIES, INC 8-K 5-3-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or oth
May 3, 2016	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2016 FIRST QUARTER RESULTS EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2016 FIRST QUARTER RESULTS - Net sales increased 33% over prior year - Gross profit increased $1.4 million over prior year - Operating income increased $1.4 million over prior year with the exclusion of one-time items St. Louis, MO – May 3, 2016 – Katy Industries, Inc. (Pink: KATY), a leadin
April 27, 2016	DEF 14A	Katy Industries SCHEDULE 14A DEF 14A 1 s001212x1def14a.htm SCHEDULE 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Onl
March 30, 2016	10-K	Katy Industries KATY INDUSTRIES 10-K 12-31-2015 (Annual Report) United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K ? Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2015 OR ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 1-5558 Katy Industries, Inc. (Exact name of registrant as specified i
March 30, 2016	8-K	Katy Industries KATY INDUSTRIES, INC 8-K 3-30-2016 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2016 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fi
March 30, 2016	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2015 FOURTH QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2015 FOURTH QUARTER RESULTS - Net sales increased 14% over prior year - Completed relocation of the Bridgeton, Missouri manufacturing facility to Jefferson City, Missouri - Continued to integrate Tiffin, Ohio manufacturing facility St. Louis, MO ? March 30, 2016 ? Katy Industries, Inc. (OTC BB: KATY), a leading manufacturer
March 30, 2016	EX-21	SUBSIDIARIES OF REGISTRANT Exhibit 21 SUBSIDIARIES OF REGISTRANT The following list sets forth subsidiaries of Katy Industries, Inc.
March 30, 2016	EX-10.31	AMENDMENT NO. 3 TO CREDIT AND SECURITY AGREEMENT AND WAIVER Exhibit 10.31 AMENDMENT NO. 3 TO CREDIT AND SECURITY AGREEMENT AND WAIVER This AMENDMENT NO. 3 TO CREDIT AND SECURITY AGREEMENT AND WAIVER (this “Agreement”) is entered into and effective as of March 30, 2016, by and among Katy Industries, Inc., a Delaware corporation, Continental Commercial Products, LLC, a Delaware limited liability company, 2155735 Ontario Inc., an Ontario corporation, CCP Cana
March 30, 2016	EX-10.30	LIMITED WAIVER AND AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT (this “Limited Waiver”) March 30, 2016 Exhibit 10.30 LIMITED WAIVER AND AMENDMENT TO SECOND LIEN CREDIT AND SECURITY AGREEMENT (this “Limited Waiver”) March 30, 2016 Katy Industries, Inc. 305 Rock Industrial Park Dr. Bridgeton, Missouri 63044 Attention: Curt Kroll Ladies and Gentlemen: Reference is made to that certain Second Lien Credit and Security Agreement dated as of April 7, 2015 (as amended, restated, extended, renewed or otherw
March 30, 2016	EX-10.22	Katy Industries, Inc. Director Compensation Arrangements Exhibit 10.22 Katy Industries, Inc. Director Compensation Arrangements 1. Retainer a. Each director earns a $10,000 annual retainer. b. Each director earns the cash equivalent of 2,000 shares of the Company’s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Board earns an additional $15,000 and the chair of the Compensation Committee and the chair of
January 26, 2016	SC 13G/A	KATY / Katy Industries, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Katy Industries, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 9, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm KATY INDUSTRIES 8-K 11-9-2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or ot
November 9, 2015	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 25, 2015 ☐ TRANSITION REPORT PURSUAN 10-Q 1 form10q.htm KATY INDUSTRIES, INC 10-Q 9-25-2015 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 25, 2015 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fr
November 9, 2015	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2015 THIRD QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2015 THIRD QUARTER RESULTS - Net Sales Increased 17% over Prior Year Third Quarter - Neared completion of the relocation of the Bridgeton, Missouri manufacturing facility to Jefferson City, Missouri - Continued to integrate Tiffin, Ohio manufacturing facility BRIDGETON, MO ? November 9, 2015 ? Katy Industries, Inc. (OTC BB:
September 10, 2015	EX-99.1	TIFFIN PLANT OF CENTREX PLASTICS (A COMPONENT OF CENTREX PLASTICS, LLC) Report for the Years Ended December 31, 2014 and 2013 TIFFIN PLANT OF CENTREX PLASTICS (A COMPONENT OF CENTREX PLASTICS, LLC) Report for the Years Ended December 31, 2014 and 201 Exhibit 99.1 TIFFIN PLANT OF CENTREX PLASTICS (A COMPONENT OF CENTREX PLASTICS, LLC) Report for the Years Ended December 31, 2014 and 2013 TIFFIN PLANT OF CENTREX PLASTICS (A COMPONENT OF CENTREX PLASTICS, LLC) Report for the Years Ended December 31, 2014 and 2013 TABLE OF CONTENTS Exhibit or Schedule Page INDEPENDENT AUDITORS' REPORT 1 - 2 BALANCE SHEETS A 3 - 4 STATEMENTS OF INCOME AND COMPONENT
September 10, 2015	EX-99.2	KATY INDUSTRIES, INC. AND SUBSIDIARIES PRO FORMA CONDENSED CONSOLIDATED BALANCE SHEET DECEMBER 31, 2014 (Amounts in Thousands) Exhibit 99.2 The unaudited pro forma condensed consolidated financial statements are based on the historical financial statements of Katy Industries, Inc. (the ?Company?) and the Tiffin, Ohio manufacturing facility of Centrex Plastics, LLC (?Tiffin?) after giving effect to the cash paid by the Company to consummate the Tiffin acquisition, as well as certain pro forma adjustments. The unaudited pro
September 10, 2015	8-K/A	Katy Industries KATY INDUSTRIES, INC 8-K A 4-7-2015 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporat
August 10, 2015	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2015 SECOND QUARTER RESULTS - Net Sales Increased 22% over Prior Year Second Quarter - Completed Acquisition of Ohio Manufacturing Facility - Amended Credit Agreement with BMO Harris Bank N.A. - Entered into Se EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2015 SECOND QUARTER RESULTS - Net Sales Increased 22% over Prior Year Second Quarter - Completed Acquisition of Ohio Manufacturing Facility - Amended Credit Agreement with BMO Harris Bank N.A. - Entered into Second Lien Credit Agreement with Victory Park Management, LLC - Richard Mark Appoin
August 10, 2015	8-K	Katy Industries KATY INDUSTRIES 8-K 8-10-2015 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission F
August 10, 2015	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 26, 2015 ☐ TRANSITION REPORT PURSUANT TO United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 26, 2015 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc.
July 13, 2015	EX-99.1	EMPLOYMENT AGREEMENT EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 EMPLOYMENT AGREEMENT The undersigned enter into this EMPLOYMENT AGREEMENT (the “Agreement”) between Katy Industries, Inc. (“Katy”) including its subsidiaries, affiliates, divisions, successors, and related entities and James W. Shaffer (“Employee”), effective August 1, 2015. Employee has been employed by Katy as Vice President and Chief Financial Offic
July 13, 2015	EX-99.3	KATY INDUSTRIES, INC. EXECUTIVE INCENTIVE AND TRANSITION AGREEMENT Exhibit 99.3 KATY INDUSTRIES, INC. EXECUTIVE INCENTIVE AND TRANSITION AGREEMENT This AGREEMENT is made as of the date signed below by Executive (the ?Effective Date?) by and between KATY INDUSTRIES, INC. (?Company?) and Curt Kroll (?Executive?). 1. Background. This Agreement is intended to provide the Executive with certain payments and benefits upon an involuntary termination of Executive?s emplo
July 13, 2015	EX-99.2	K a t y I n d u s t r i e s, I n c. 305 Rock Industrial Park Drive Bridgeton, MO 63044 Exhibit 99.2 K a t y I n d u s t r i e s, I n c. 305 Rock Industrial Park Drive Bridgeton, MO 63044 Brian Nichols Telephone: (314) 739-8585 Vice President Facsimile: (314) 656-4398 July 7, 2015 Mr. Curt Kroll Dear Curt: I am pleased to confirm our employment offer to you as Chief Financial Officer for Katy Industries, Inc. Your salary and benefits package, effective with your promotion date is as
July 13, 2015	EX-99.6	Katy Industries Announces New Chairman of the Board and Chief Financial Officer Richard A. Mark to succeed retiring Chairman William F. Andrews; Existing VP, Corporate Controller & Assistant Secretary Curt A. Kroll to succeed retiring VP, CFO & Secre Exhibit 99.6 Katy Industries Announces New Chairman of the Board and Chief Financial Officer Richard A. Mark to succeed retiring Chairman William F. Andrews; Existing VP, Corporate Controller & Assistant Secretary Curt A. Kroll to succeed retiring VP, CFO & Secretary James W. Shaffer ST. LOUIS, MO ? July 8, 2015 ? Katy Industries, Inc. announced today the retirements of William F. (Bill) Andrews,
July 13, 2015	8-K	Katy Industries KATY INDUSTRIES, INC 8-K 7-7-2015 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
July 13, 2015	EX-99.5	KATY INDUSTRIES, INC. EXECUTIVE INCENTIVE AND TRANSITION AGREEMENT Exhibit 99.5 KATY INDUSTRIES, INC. EXECUTIVE INCENTIVE AND TRANSITION AGREEMENT This AGREEMENT is made as of the date signed below by Executive (the ?Effective Date?) by and between KATY INDUSTRIES, INC. (?Company?) and Brian Nichols (?Executive?). 1. Background. This Agreement is intended to provide the Executive with certain payments and benefits upon an involuntary termination of Executive?s em
July 13, 2015	EX-99.4	EMPLOYEE NON-COMPETITION, NON-SOLICITATION AND CONFIDENTIAL INFORMATION AGREEMENT Exhibit 99.4 EMPLOYEE NON-COMPETITION, NON-SOLICITATION AND CONFIDENTIAL INFORMATION AGREEMENT The undersigned enter into this EMPLOYEE NON-COMPETITION, NON-SOLICITATION AND CONFIDENTIAL INFORMATION AGREEMENT (the ?Agreement?) between Katy Industries, Inc. including its parents, subsidiaries, affiliates, divisions, successors, and related entities (?Katy?) and Curt Kroll (?Employee?), effective th
May 28, 2015	8-K	Submission of Matters to a Vote of Security Holders 8-K 1 form8k.htm KATY INDUSTRIES INC 8-K 5-21-2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or ot
May 11, 2015	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2015 FIRST QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2015 FIRST QUARTER RESULTS BRIDGETON, MO ? May 11, 2015 ? Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the first quarter of 2015 of $1.8 million, or $0.23 per basic and diluted share, versus net income of $1.2 million, or $0.15 per basic ($0.04 per diluted) share, in the first quarter of 2014. With the
May 11, 2015	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 27, 2015 ☐ TRANSITION REPORT PURSUANT TO United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 27, 2015 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc
May 11, 2015	8-K	Katy Industries KATY INDUSTRIES INC 8-K 5-11-2015 (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
April 16, 2015	DEF 14A	Katy Industries DEF 14A DEF 14A 1 s000855x1def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as
April 13, 2015	EX-10.1	AMENDMENT NO. 1 TO CREDIT AND SECURITY AGREEMENT Exhibit 10.1 AMENDMENT NO. 1 TO CREDIT AND SECURITY AGREEMENT This AMENDMENT NO. 1 TO CREDIT AND SECURITY AGREEMENT (this “Agreement”) is entered into and effective as of April 7, 2015, by and among Katy Industries, Inc., a Delaware corporation, Continental Commercial Products, LLC, a Delaware limited liability company, 2155735 Ontario Inc., an Ontario corporation, CCP Canada Inc., an Ontario corp
April 13, 2015	EX-10.2	SECOND LIEN CREDIT AND SECURITY AGREEMENT Dated as of April 7, 2015 KATY INDUSTRIES, INC., A DELAWARE CORPORATION CONTINENTAL COMMERCIAL PRODUCTS, LLC, A DELAWARE LIMITED LIABILITY COMPANY, FTW HOLDINGS, INC., A DELAWARE CORPORATION, FORT WAYNE PLAST Exhibit 10.2 ANYTHING HEREIN TO THE CONTRARY NOTWITHSTANDING, THE LIENS AND SECURITY INTERESTS SECURING THE OBLIGATIONS, THE EXERCISE OF ANY RIGHT OR REMEDY WITH RESPECT THERETO, AND CERTAIN OF THE RIGHTS OF THE CREDIT PARTIES HEREUNDER ARE SUBJECT TO THE PROVISIONS OF THE INTERCREDITOR AND SUBORDINATION AGREEMENT DATED AS OF APRIL 7, 2015 (AS AMENDED, RESTATED, SUPPLEMENTED, OR OTHERWISE MODIFIED
April 13, 2015	EX-10.3	ASSET PURCHASE AGREEMENT Continental Commercial Products, LLC, Centrex Plastics, LLC T.R. Plastics, LLC Terrence L. Reinhart Dated as of April 7, 2015 TABLE OF CONTENTS EX-10.3 4 ex103.htm EXHIBIT 10.3 Exhibit 10.3 ASSET PURCHASE AGREEMENT between Continental Commercial Products, LLC, Centrex Plastics, LLC T.R. Plastics, LLC and Terrence L. Reinhart Dated as of April 7, 2015 TABLE OF CONTENTS Page I. CERTAIN INTERPRETIVE MATTERS 1 1.1 Certain Interpretive Matters 1 II. PURCHASE AND SALE; CLOSING 2 2.1 Acquired Assets 2 2.2 Excluded Assets 3 2.3 Assumed Liabilitie
April 13, 2015	EX-99.1	Katy Industries Announces Acquisition of Certain Assets of Centrex Plastics Exhibit 99.1 Katy Industries Announces Acquisition of Certain Assets of Centrex Plastics St. Louis, MO, April 9, 2015 ? Katy Industries, Inc. (?Katy?) announced today that it has completed the acquisition of the plastic shelving and cabinet business unit of Centrex Plastics, LLC (?Centrex?), including a lease of its Tiffin, Ohio manufacturing facility, effective April 7, 2015. Centrex is a leading
April 13, 2015	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2015 Katy Industries, In UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 7, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fil
March 31, 2015	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 8-K 1 form8k.htm KATY INDUSTRIES, INC. 8-K 3-25-2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State o
March 31, 2015	EX-10.1	COMMERCIAL LEASE AGREEMENT Exhibit 10.1 COMMERCIAL LEASE AGREEMENT THIS LEASE AGREEMENT (sometimes ?Lease? and/or ?Lease Agreement?), made and entered into by and between 321 Wilson Drive, L.L.C., a Missouri limited liability company or its assigns, hereinafter referred to as ?Landlord?, and Continental Commercial Products, LLC, a Delaware Limited Liability Company authorized to do business in the State of Missouri, hereina
March 30, 2015	10-K	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2014 ☐ Transition Report Pursuant to Sect 10-K 1 form10k.htm KATY INDUSTRIES, INC 10-K 12-31-2014 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2014 OR ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 1-5558 Katy I
March 30, 2015	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2015 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fi
March 30, 2015	EX-21	SUBSIDIARIES OF REGISTRANT Exhibit 21 SUBSIDIARIES OF REGISTRANT The following list sets forth subsidiaries of Katy Industries, Inc.
March 30, 2015	EX-10.22	Katy Industries, Inc. Director Compensation Arrangements EX-10.22 2 ex1022.htm EXHIBIT 10.22 Exhibit 10.22 Katy Industries, Inc. Director Compensation Arrangements 1. Retainer a. Each director earns a $10,000 annual retainer. b. Each director earns the cash equivalent of 2,000 shares of the Company’s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Compensation Committee and the chair of the Audit Committe
March 30, 2015	EX-99.1	KATY NEWS EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS REVENUE GROWTH AND NET INCOME IN 2014 BRIDGETON, MO – March 30, 2015 – Katy Industries, Inc. (OTC BB: KATY) today reported net income for the year ended December 31, 2014 of $2.5 million, or $0.31 per basic share or $0.09 per diluted share, versus a net loss of $1.5 million, or $0.19 per bas
January 27, 2015	SC 13G/A	KATY / Katy Industries, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Katy Industries, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 10, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm KATY INDUSTRIES, INC 8-K 11-10-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2014 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (Stat
November 10, 2014	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2014 THIRD QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2014 THIRD QUARTER RESULTS BRIDGETON, MO – November 10, 2014 – Katy Industries, Inc. (OTC BB: KATY) today reported net income in the third quarter of 2014 of $1.4 million, or $0.17 per basic ($0.05 per diluted) share versus net income of $0.2 million, or $0.02 per basic ($0.00 per diluted) share, in the third
November 10, 2014	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 26, 2014 o TRANSITION REPORT PURSUAN 10-Q 1 form10q.htm KATY INDUSTRIES, INC 10-Q 9-26-2014 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 26, 2014 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fr
August 11, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2014 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission F
August 11, 2014	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 27, 2014 o TRANSITION REPORT PURSUANT TO United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 27, 2014 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc.
August 11, 2014	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2014 SECOND QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2014 SECOND QUARTER RESULTS BRIDGETON, MO – August 11, 2014 – Katy Industries, Inc. (OTC BB: KATY) today reported net income in the second quarter of 2014 of $0.5 million, or $0.07 per basic ($0.02 per diluted) share versus net income of $0.1 million, or $0.02 per basic ($0.01 per diluted) share, in the second
May 28, 2014	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2014 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
May 12, 2014	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2014 FIRST QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2014 FIRST QUARTER RESULTS BRIDGETON, MO – May 12, 2014 – Katy Industries, Inc. (OTC BB: KATY) today reported net income in the first quarter of 2014 of $1.2 million, or $0.15 per basic ($0.04 per diluted) share, versus a net loss of $0.8 million, or $0.10 per basic and diluted share, in the first quarter of 2013. Income fr
May 12, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2014 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
May 12, 2014	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 28, 2014 o TRANSITION REPORT PURSUANT TO United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 28, 2014 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc
May 5, 2014	8-K/A	Financial Statements and Exhibits 8-K/A 1 form8ka.htm KATY INDUSTRIES, INC 8-KA 2-19-2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 19, 2014 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001
May 5, 2014	EX-99.3	KATY INDUSTRIES, INC. AND SUBSIDIARIES PRO FORMA CONDENSED CONSOLIDATED BALANCE SHEET SEPTEMBER 27, 2013 (Amounts in Thousands) Historical Historical Pro Forma Pro Forma KATY FTW Adjustments Combined (Note 2) CURRENT ASSETS: Cash $ 1,062 $ 2,445 $ (2 Exhibit 99.3 The unaudited pro forma condensed consolidated financial statements are based on the historical financial statements of Katy Industries, Inc. (the “Company”) and Fort Wayne Holdings, Inc. (“FTW”) after giving effect to the cash paid by the Company to consummate the FTW acquisition, as well as certain pro forma adjustments. The unaudited pro forma condensed consolidated balance sheet d
May 5, 2014	EX-99.2	FTW HOLDINGS, INC. AND SUBSIDIARY CONSOLIDATED FINANCIAL STATEMENTS September 30, 2013 and December 31, 2012 FTW HOLDINGS, INC. AND SUBSIDIARY Fort Wayne, Indiana CONSOLIDATED FINANCIAL STATEMENTS September 30, 2013 and December 31, 2012 FINANCIAL ST Exhibit 99.2 FTW HOLDINGS, INC. AND SUBSIDIARY CONSOLIDATED FINANCIAL STATEMENTS September 30, 2013 and December 31, 2012 FTW HOLDINGS, INC. AND SUBSIDIARY Fort Wayne, Indiana CONSOLIDATED FINANCIAL STATEMENTS September 30, 2013 and December 31, 2012 CONTENTS FINANCIAL STATEMENTS INDEPENDENT AUDITOR’S REPORT 1 CONSOLIDATED BALANCE SHEETS 3 CONSOLIDATED STATEMENTS OF INCOME 4 CONSOLIDATED STATEMENT
May 5, 2014	EX-99.1	FTW HOLDINGS, INC. AND SUBSIDIARY CONSOLIDATED FINANCIAL STATEMENTS December 31, 2012 and 2011 FTW HOLDINGS, INC. AND SUBSIDIARY Fort Wayne, Indiana CONSOLIDATED FINANCIAL STATEMENTS December 31, 2012 and 2011 INDEPENDENT AUDITOR’S REPORT 1 FINANCIAL EXHIBIT 99.1 FTW HOLDINGS, INC. AND SUBSIDIARY CONSOLIDATED FINANCIAL STATEMENTS December 31, 2012 and 2011 FTW HOLDINGS, INC. AND SUBSIDIARY Fort Wayne, Indiana CONSOLIDATED FINANCIAL STATEMENTS December 31, 2012 and 2011 CONTENTS INDEPENDENT AUDITOR’S REPORT 1 FINANCIAL STATEMENTS CONSOLIDATED BALANCE SHEETS 3 CONSOLIDATED STATEMENTS OF INCOME 4 CONSOLIDATED STATEMENTS OF SHAREHOLDERS’ EQUITY 5
April 25, 2014	DEF 14A	- DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State
April 25, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2014 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fi
March 31, 2014	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2013 FOURTH QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2013 FOURTH QUARTER RESULTS BRIDGETON, MO – March 31, 2014 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the fourth quarter of 2013 of $1.0 million, or $0.13 per share, versus a net loss of $9.1 million, or $1.14 per share, in the fourth quarter of 2012. The fourth quarter 2012 included a one-time impa
March 31, 2014	EX-10.22	Katy Industries, Inc. Director Compensation Arrangements EX-10.22 2 ex1022.htm EXHIBIT 10.22 Exhibit 10.22 Katy Industries, Inc. Director Compensation Arrangements 1. Retainer a. Each director earns a $10,000 annual retainer. b. Each director earns the cash equivalent of 2,000 shares of the Company’s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Compensation Committee and the chair of the Audit Committe
March 31, 2014	10-K	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2013 o Transition Report Pursuant to Sect 10-K 1 form10k.htm KATY INDUSTRIES INC 10-K 12-31-2013 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2013 OR o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 1-5558 Katy In
March 31, 2014	EX-21	SUBSIDIARIES OF REGISTRANT Exhibit 21 SUBSIDIARIES OF REGISTRANT The following list sets forth subsidiaries of Katy Industries, Inc.
March 31, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2014 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fi
March 24, 2014	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 katy54.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 54) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and
February 25, 2014	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. ANNOUNCES CLOSING OF ACQUISITION OF FORT WAYNE PLASTICS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. ANNOUNCES CLOSING OF ACQUISITION OF FORT WAYNE PLASTICS BRIDGETON, MO – February 25, 2014 – Katy Industries, Inc. (OTC BB: KATY) today announced that it has completed its acquisition of Fort Wayne Plastics, Inc. effective February 19th, 2014. Fort Wayne Plastics is a leading manufacturer of medium- to large- sized molded plastic co
February 25, 2014	EX-10.1	CREDIT AND SECURITY AGREEMENT Dated as of February 19, 2014 among KATY INDUSTRIES, INC., A DELAWARE CORPORATION CONTINENTAL COMMERCIAL PRODUCTS, LLC, A DELAWARE LIMITED LIABILITY COMPANY 2155735 ONTARIO INC., AN ONTARIO CORPORATION, CCP CANADA INC., Exhibit 10.1 CREDIT AND SECURITY AGREEMENT Dated as of February 19, 2014 among KATY INDUSTRIES, INC., A DELAWARE CORPORATION CONTINENTAL COMMERCIAL PRODUCTS, LLC, A DELAWARE LIMITED LIABILITY COMPANY 2155735 ONTARIO INC., AN ONTARIO CORPORATION, AND CCP CANADA INC., AN ONTARIO CORPORATION as Borrowers and BMO HARRIS BANK N.A., as Lender TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND ACCOUNTING T
February 25, 2014	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 19, 2014 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission
January 30, 2014	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January, 24, 2014 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission
January 30, 2014	EX-10.1	STOCK PURCHASE AGREEMENT FTW Holdings, Inc., the shareholders of FTW Holdings, Inc., Fort Wayne Plastics, Inc., Continental Commercial Products, LLC. Dated as of January 24, 2014 TABLE OF CONTENTS EX-10.1 2 ex101.htm EXHIBIT 10.1 Exhibit 10.1 Execution Copy STOCK PURCHASE AGREEMENT between FTW Holdings, Inc., the shareholders of FTW Holdings, Inc., Fort Wayne Plastics, Inc., and Continental Commercial Products, LLC. Dated as of January 24, 2014 TABLE OF CONTENTS PAGE I CERTAIN INTERPRETIVE MATTERS 1 1.1 Certain Interpretive Matters 1 II CLOSING; POST CLOSING ADJUSTMENT 1 2.1 Purchase of Sha
January 27, 2014	SC 13G/A	KATY / Katy Industries, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Katy Industries, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 12, 2013	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2013 THIRD QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2013 THIRD QUARTER RESULTS BRIDGETON, MO – November 11, 2013 – Katy Industries, Inc. (OTC BB: KATY) today reported net income in the third quarter of 2013 of $0.2 million versus a net loss of $2.8 million in the third quarter of 2012. Income from continuing operations was $0.2 million in the third quarter of 2
November 12, 2013	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 27, 2013 o TRANSITION REPORT PURSUAN United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 27, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries,
November 12, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2013 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission
August 12, 2013	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2013 SECOND QUARTER RESULTS EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS NET INCOME IN 2013 SECOND QUARTER RESULTS BRIDGETON, MO – August 12, 2013 – Katy Industries, Inc. (OTC BB: KATY) today reported net income in the second quarter of 2013 of $0.1 million versus a net loss of $1.0 million in the second quarter of 2012. Income from continuing operations was $0.3
August 12, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - KATY INDUSTRIES, INC 8-K 8-12-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2013 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission F
August 12, 2013	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 28, 2013 ¨ TRANSITION REPORT PURSUANT TO 10-Q 1 form10q.htm KATY INDUSTRIES, INC 10-Q 6-28-2013 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 28, 2013 Or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to
May 29, 2013	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2013 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
May 13, 2013	EX-10.1	WAIVER AND THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT Exhibit 10.1 Execution Version WAIVER AND THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS WAIVER AND THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is executed and delivered as of February 18, 2013, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a Delaware limited liability company (?Continental?), CCP CANADA INC. (formerly known as Glit/Gemtex, Ltd.), a corporation form
May 13, 2013	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2013 FIRST QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2013 FIRST QUARTER RESULTS BRIDGETON, MO – May 13, 2013 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the first quarter of 2013 of $0.8 million, or $0.10 per share, versus a net loss of $2.3 million, or $0.28 per share, in the first quarter of 2012. Loss from continuing operations was $1.4 million in b
May 13, 2013	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 29, 2013 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc
May 13, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - KATY INDUSTRIES 8-K 5-13-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2013 KATY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
April 23, 2013	DEFR14A	- DEFR14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State
April 19, 2013	DEF 14A	- SCHEDULE 14A DEF 14A 1 b341834def14a.htm SCHEDULE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by R
April 1, 2013	10-K	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2012 10-K 1 form10k.htm KATY INDUSTRIES INC 10-K 12-31-2012 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2012 OR o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 1-5558 Katy In
April 1, 2013	EX-21	SUBSIDIARIES OF REGISTRANT Exhibit 21 SUBSIDIARIES OF REGISTRANT The following list sets forth subsidiaries of Katy Industries, Inc.
April 1, 2013	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2012 FOURTH QUARTER RESULTS EXHIBIT 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2012 FOURTH QUARTER RESULTS BRIDGETON, MO – April 1, 2013 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the fourth quarter of 2012 of $9.1 million, or $1.14 per share, versus net income of $8.5 million, or $0.32 per diluted share, in the fourth quarter of 2011. The fourth quarter 2012 included a one-ti
April 1, 2013	EX-10.22	Katy Industries, Inc. Director Compensation Arrangements Exhibit 10.22 Katy Industries, Inc. Director Compensation Arrangements 1.Retainer a. Each director earns a $10,000 annual retainer. b. Each director earns the cash equivalent of 2,000 shares of the Company?s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Compensation Committee and the chair of the Audit Committee each earn an additional $6,000 annu
April 1, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - KATY INDUSTRIES INC 8-K 4-1-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2013 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fil
February 11, 2013	SC 13G/A	KATY / Katy Industries, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment SC 13G/A 1 rrd113.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* KATY INDUSTRIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat
January 30, 2013	8-K	Material Impairments - KATY INDUSTRIES, INC 8-K 1-30-2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2013 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission
January 23, 2013	SC 13G/A	KATY / Katy Industries, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Katy Industries, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2012 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 13, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - KATY INDUSTRIES INC 8-K 11-12-2012 00 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commiss
November 13, 2012	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q T QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 28, 2012 o TRANSITION REPORT PURSUAN United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q T QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 28, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries,
November 13, 2012	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2012 THIRD QUARTER RESULTS EX-99.1 2 ex991.htm EXHIBIT 99.1 EXHIBIT 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2012 THIRD QUARTER RESULTS BRIDGETON, MO – November 13, 2012 – Katy Industries, Inc. (OTC BB: KATY) today reported a loss from continuing operations of $1.2 million in the third quarter of 2012, an improvement from the $1.5 million loss in the third quarter of 2011. Operating loss was $0.9 m
September 26, 2012	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits - KATY INDUSTRIES, INC 8-K 9-26-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commissio
September 26, 2012	EX-10.1	ASSET PURCHASE AGREEMENT EXHIBIT 10.1 EXECUTION COPY ASSET PURCHASE AGREEMENT THIS ASSET PURCHASE AGREEMENT (this “Agreement”) is made as of the 20th day of September, 2012 (the “Effective Date”). B E T W E E N: GLIT/GEMTEX, LTD. a corporation incorporated under the laws of the Province of Ontario (the “Vendor”) - and - KATY INDUSTRIES, INC., a corporation incorporated under the laws of Delaware (“KI”) -and- 2340258 ONTAR
August 13, 2012	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 29, 2012 o TRANSITION REPORT PURSUANT TO United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: June 29, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc.
August 13, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - KATY INDUSTRIES, INC 8-K 8-9-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fi
August 13, 2012	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS IMPROVED GROSS MARGIN IN 2012 SECOND QUARTER RESULTS EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS IMPROVED GROSS MARGIN IN 2012 SECOND QUARTER RESULTS BRIDGETON, MO – August 13, 2012 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the second quarter of 2012 of $1.0 million, or $0.13 per share, versus a net loss of $1.3 million, or $0.16 per share, in the second quarte
August 7, 2012	SC 13D/A	KATY / Katy Industries, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 53) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number of P
June 6, 2012	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
June 6, 2012	EX-10.1	CONSENT AND FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT EXHIBIT 10.1 CONSENT AND FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS CONSENT AND FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is executed and delivered as of May 31, 2012, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a Delaware limited liability company (“Continental”), GLIT/GEMTEX, LTD, a corporation formed under the laws of the Province of Ontario (“Glit/Gemtex
May 30, 2012	8-K	Submission of Matters to a Vote of Security Holders 8-K 1 form8k.htm KATY INDUSTRIES INC 8-K 05-24-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or o
April 30, 2012	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 30, 2012 o TRANSITION REPORT PURSUANT TO United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: March 30, 2012 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc
April 30, 2012	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2012 FIRST QUARTER RESULTS EX-99.1 2 ex991.htm EXHIBIT 99.1 EXHIBIT 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2012 FIRST QUARTER RESULTS BRIDGETON, MO – April 30, 2012 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the first quarter of 2012 of $2.3 million, or $0.28 per share, versus a net loss of $1.3 million, or $0.16 per share, in the first quarter of 2011. Loss from continui
April 30, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm KATY INDUSTRIES INC 8-K 4-30-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or
April 13, 2012	DEF 14A	- KATY INDUSTRIES, INC DEF 14A 5-24-2012 DEF 14A 1 formdef14a.htm KATY INDUSTRIES, INC DEF 14A 5-24-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission
March 30, 2012	EX-3.1	KATY INDUSTRIES, INC. AMENDED AND RESTATED BY-LAWS EXHIBIT 3.1 KATY INDUSTRIES, INC. AMENDED AND RESTATED BY-LAWS ARTICLE I OFFICES Section 1. The registered office shall be in the city of Wilmington, County of New Castle, State of Delaware. Section 2. The corporation may also have offices at such other places both within and without the State of Delaware as the board of directors may from time to time determine or the business of the corporation
March 30, 2012	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits 8-K 1 form8k.htm KATY INDUSTRIES INC 8-K 3-26-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or
March 26, 2012	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2011 FOURTH QUARTER RESULTS EXHIBIT 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2011 FOURTH QUARTER RESULTS BRIDGETON, MO – March 26, 2012 – Katy Industries, Inc. (OTC BB: KATY) today reported net income in the fourth quarter of 2011 of $8.5 million, or $0.32 per diluted share, versus net loss of $2.8 million, or $0.36 per diluted share, in the fourth quarter of 2010. Loss from continuing operations wa
March 26, 2012	10-K	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2011 o Transition Report Pursuant to Sect 10-K 1 form10k.htm KATY INDUSTRIES INC 10-K 12-31-2011 United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2011 OR o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 1-5558 Katy In
March 26, 2012	EX-21	SUBSIDIARIES OF REGISTRANT EX-21 3 ex21.htm EXHIBIT 21 Exhibit 21 SUBSIDIARIES OF REGISTRANT The following list sets forth subsidiaries of Katy Industries, Inc. as of March 26, 2012, as well as operating divisions of such subsidiaries, with successive indentation indicating parent/subsidiary relationships of such subsidiaries. The state of jurisdiction or incorporation of each such subsidiary is stated in parentheses. All s
March 26, 2012	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - KATY INDUSTRIES INC 8-K 3-26-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2012 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission Fi
March 26, 2012	EX-10.22	Katy Industries, Inc. Exhibit 10.22 Katy Industries, Inc. Director Compensation Arrangements 1. Retainer a. Each director earns a $10,000 annual retainer. b. Each director earns the cash equivalent of 2,000 shares of the Company?s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Compensation Committee and the chair of the Audit Committee each earn an additional $6,000 ann
February 14, 2012	SC 13G/A	KATY / Katy Industries, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* KATY INDUSTRIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch
February 10, 2012	SC 13G	KATY / Katy Industries, Inc. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Katy Industries, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2011 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
November 14, 2011	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2011 THIRD QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2011 THIRD QUARTER RESULTS BRIDGETON, MO ? November 11, 2011 ? Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the third quarter of 2011 of $1.1 million, or $0.14 per diluted share, versus net loss of $1.6 million, or $0.20 per diluted share, in the third quarter of 2010. Loss from continuing operations wa
November 14, 2011	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 30, 2011 o TRANSITION REPORT PURSUAN United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: September 30, 2011 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries,
November 14, 2011	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm KATY INDUSTRIES INC 8-K 11-11-2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State
November 10, 2011	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 52) Katy Industries, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 52) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
October 25, 2011	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 51) Katy Industries, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 51) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
October 11, 2011	EX-10.1	Loan And Security Agreement Dated as of September 30, 2011 THE PRIVATEBANK AND TRUST COMPANY The Lender, CONTINENTAL COMMERCIAL PRODUCTS, LLC, GLIT/GEMTEX, LTD. AND 3254018 NOVA SCOTIA LIMITED Collectively, The Borrowers The other Persons party heret Exhibit 10.1 Loan And Security Agreement Dated as of September 30, 2011 Between THE PRIVATEBANK AND TRUST COMPANY The Lender, CONTINENTAL COMMERCIAL PRODUCTS, LLC, GLIT/GEMTEX, LTD. AND 3254018 NOVA SCOTIA LIMITED Collectively, The Borrowers And The other Persons party hereto as Loan Parties TABLE OF CONTENTS Page SECTION 1 DEFINITIONS. 1 1.1. Definitions. 1 SECTION 2 LOANS. 15 2.1. Revolving Loan
October 11, 2011	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 4, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission F
October 11, 2011	EX-10.2	ASSET PURCHASE AGREEMENT Dated as of August 23, 2011 TABLE OF CONTENTS Exhibit 10.2 EXECUTION COPY ASSET PURCHASE AGREEMENT Dated as of August 23, 2011 Between BUYER and SELLER TABLE OF CONTENTS 1 Definitions. 1 2 Acquisition of Assets by the Buyer. 9 2.1 Purchase and Sale of Assets. 9 2.2 Excluded Assets 11 2.3 Assumption of Liabilities. 12 2.4 Liabilities Not Assumed. 13 2.5 Purchase Price. 14 2.6 Purchase Price Adjustment. 15 2.7 The Closing. 17 2.8 Deliveries at
October 11, 2011	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. ANNOUNCES CLOSING OF DISCO SALE AND A NEW $20.0 MILLION CREDIT AGREEMENT Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. ANNOUNCES CLOSING OF DISCO SALE AND A NEW $20.0 MILLION CREDIT AGREEMENT BRIDGETON, MO ? October 11, 2011 ? Katy Industries, Inc. (OTC BB: KATY) today announced the successful closing of the DISCO division (?DISCO?) of Continental Commercial Products, LLC (?CCP?) to DISCO Acquisition Corp. (?DISCO?), an affiliate of Cellucap Manufa
September 16, 2011	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 50) Katy Industries, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 50) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
September 14, 2011	10-Q/A	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 1, 2011 o TRANSITION RE United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 1, 2011 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy
August 29, 2011	8-K	Entry into a Material Definitive Agreement 8-K 1 form8k.htm KATY INDUSTRIES 8-K 8-23-2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or oth
August 22, 2011	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 49) Katy Industries, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 49) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
August 18, 2011	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 form8-k.htm KATY INDUSTRIES INC 8-K 8-18-2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State o
August 15, 2011	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2011 SECOND QUARTER RESULTS Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2011 SECOND QUARTER RESULTS BRIDGETON, MO ? August 15, 2011 ? Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the second quarter of 2011 of $1.3 million, or $0.16 per diluted share, versus net income of $1.5 million, or $0.06 per diluted share, in the second quarter of 2010. Operating loss was $1.2 million
August 15, 2011	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm KATY INDUSTRIES 8-K 8-15-2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or oth
August 15, 2011	EX-10.1	FIFTH AMENDMENT AND WAIVER TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT Exhibit 10.1 FIFTH AMENDMENT AND WAIVER TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This Fifth Amendment and Waiver to Revolving Credit, Term Loan and Security Agreement (the ?Amendment?) is made as of this 15th day of August, 2011, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a limited liability company organized under the laws of the State of Delaware (?Continental?), and GLIT /
August 15, 2011	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 1, 2011 o TRANSITION REPORT PURSUANT TO S United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 1, 2011 Or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries, Inc.
July 19, 2011	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 48) Katy Industries, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 48) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
June 17, 2011	SC 13D/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 47) Katy Industries, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 47) Katy Industries, Inc. (Name of Issuer) Common Stock $1 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) Peter D. Goldstein GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
June 1, 2011	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
May 26, 2011	EX-24.1	KATY INDUSTRIES, INC. POWER OF ATTORNEY KATY INDUSTRIES, INC. POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned?s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned?s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the S
May 26, 2011	EX-24.1	KATY INDUSTRIES, INC. POWER OF ATTORNEY KATY INDUSTRIES, INC. POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned?s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned?s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the S
May 26, 2011	EX-24.1	KATY INDUSTRIES, INC. POWER OF ATTORNEY KATY INDUSTRIES, INC. POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned?s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned?s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the S
May 16, 2011	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2011 FIRST QUARTER RESULTS KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2011 FIRST QUARTER RESULTS BRIDGETON, MO ? May 16, 2011 ? Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the first quarter of 2011 of $1.3 million, or $0.16 per share, versus a net loss of $2.2 million, or $0.27 per share, in the first quarter of 2010. Operating loss was $0.8 million, or 2.5% of net sales, in the firs
May 16, 2011	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: April 1, 2011 [ ] TRANSITION REPORT PURSUA 10-Q 1 form10-q.htm Q1 2011 FORM 10-Q United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: April 1, 2011 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission
May 16, 2011	EX-10.1	Fourth Amendment and Waiver to Revolving Credit, Term Loan and Security Agreement dated May 16, 2011, among Continental Commercial Products, LLC, Glit/Gemtex, Ltd., Katy Industries, Inc. and PNC Bank, National Association. Exhibit 10.1 FOURTH AMENDMENT AND WAIVER TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This Fourth Amendment and Waiver to Revolving Credit, Term Loan and Security Agreement (the ?Amendment?) is made as of this 16th day of May, 2011, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a limited liability company organized under the laws of the State of Delaware (?Continental?), and GLIT / G
May 16, 2011	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
April 15, 2011	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 DEF 14A 1 def14a.htm KATY INDUSTRIES, INC. 2011 PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission
March 31, 2011	EX-10.17	First Amendment to Revolving Credit, Term Loan and Security Agreement dated January 18, 2011, among Continental Commercial Products, LLC, Glit/Gemtex, Ltd., Katy Industries, Inc. and PNC Bank, National Association. Exhibit 10.17 FIRST AMENDMENT TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This First Amendment to Revolving Credit, Term Loan and Security Agreement (the ?Amendment?) is made as of this 18th day of January, 2011, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a limited liability company organized under the laws of the State of Delaware (?Continental?), and GLIT / GEMTEX, LTD., a corp
March 31, 2011	EX-10.12	Subordinated Note dated February 14, 2011 between Daniel Carroll and the Company. Exhibit 10.12 THIS NOTE WAS ISSUED IN A PRIVATE PLACEMENT, WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), AND MAY NOT BE SOLD, ASSIGNED, PLEDGED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT COVERING THE TRANSFER OR AN OPINION OF COUNSEL ACCEPTABLE TO THE ISSUER THAT SUCH REGISTRATION UNDER THE ACT IS NOT REQUIRED. THIS
March 31, 2011	EX-10.8	Amendment to CFO Employment Offer Letter dated as of January 18, 2011 between James W. Shaffer and the Company. Exhibit 10.8 K A T Y I N D U S T R I E S, I N C. 305 Rock Industrial Park Drive Bridgeton, MO 63044 Telephone: (314) 739-8585 Facsimile: (314) 656-4398 January 18, 2011 Mr. James W. Shaffer 319 Berry Bush Ct. Ballwin, Missouri 63011 Dear Jim: The purpose of this letter agreement is to amend your offer letter dated October 27, 2008 (your ?Offer Letter?) with Katy Industries, Inc. (the ?Company?). S
March 31, 2011	EX-10.11	Subordinated Note dated February 14, 2011 between Wallace E. Carroll, Jr. and the Company. Exhibit 10.11 THIS NOTE WAS ISSUED IN A PRIVATE PLACEMENT, WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), AND MAY NOT BE SOLD, ASSIGNED, PLEDGED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT COVERING THE TRANSFER OR AN OPINION OF COUNSEL ACCEPTABLE TO THE ISSUER THAT SUCH REGISTRATION UNDER THE ACT IS NOT REQUIRED. THIS
March 31, 2011	10-K	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K [X] Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2010 [ ]Transition Report Pursuant to S 10-K 1 form10-k.htm 2010 FORM 10-K United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-K [X] Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2010 OR [ ]Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission file number 1-5558 Katy Industries, Inc. (E
March 31, 2011	EX-10.18	Second Amendment to Revolving Credit, Term Loan and Security Agreement dated January 18, 2011, among Continental Commercial Products, LLC, Glit/Gemtex, Ltd., Katy Industries, Inc. and PNC Bank, National Association. Exhibit 10.18 SECOND AMENDMENT TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This Second Amendment to Revolving Credit, Term Loan and Security Agreement (the ?Amendment?) is made as of this 4th day of February, 2011, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a limited liability company organized under the laws of the State of Delaware (?Continental?), and GLIT / GEMTEX, LTD., a co
March 31, 2011	EX-21	Subsidiaries of Registrant Exhibit 21 SUBSIDIARIES OF REGISTRANT The following list sets forth subsidiaries of Katy Industries, Inc.
March 31, 2011	EX-10.10	Subordinated Note dated February 14, 2011 between David J. Feldman and the Company. EX-10.10 3 ex10-10.htm SUBORDINATED NOTE WITH DAVID J. FELDMAN Exhibit 10.10 THIS NOTE WAS ISSUED IN A PRIVATE PLACEMENT, WITHOUT REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), AND MAY NOT BE SOLD, ASSIGNED, PLEDGED OR OTHERWISE TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT COVERING THE TRANSFER OR AN OPINION OF COUNSEL ACCEPTABLE TO THE IS
March 31, 2011	EX-10.21	Katy Industries, Inc, 2011 Change in Control Plan effective as of March 28, 2011. Exhibit 10.21 Katy Industries, Inc. 2011 Change in Control Plan Effective March 28, 2011 TABLE OF CONTENTS Section Page ARTICLE I DEFINITIONS 1 1.01 Administrator 1 1.02 Affiliate 1 1.03 Aggregate Change in Control Consideration 1 1.04 Board 1 1.05 Cause 1 1.06 Change in Control 2 1.07 Change in Control Protection Period 2 1.08 Code 2 1.09 Committee 3 1.10 Company 3 1.11 Effective Date 3 1.12 Empl
March 31, 2011	EX-10.22	Director Compensation Arrangements Exhibit 10.22 Katy Industries, Inc. Director Compensation Arrangements 1. Retainer a. Each director receives a $10,000 annual retainer, paid annually in advance. b. Each director receives the cash equivalent of 2,000 shares of the Company?s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Compensation Committee and the chair of the Audit Committee ea
March 30, 2011	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2010 FOURTH QUARTER RESULTS EX-99.1 2 ex99-1.htm KATY INDUSTRIES, INC. PRESS RELEASE DATED MARCH 30, 2011 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2010 FOURTH QUARTER RESULTS BRIDGETON, MO – March 30, 2011 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the fourth quarter of 2010 of $2.8 million, or $0.36 per share, versus a net loss of $2.3 million, or $0.30 per share, in the fourth
March 30, 2011	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8-k.htm FORM 8-K FOR Q4 2010 EARNINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or oth
March 4, 2011	EX-10.1	THIRD AMENDMENT TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT EX-10.1 2 ex10-1.htm THIRD AMENDMENT TO THE PNC CREDIT AGREEMENT THIRD AMENDMENT TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This Third Amendment to Revolving Credit, Term Loan and Security Agreement (the “Amendment”) is made as of this 14th day of February, 2011, by and among CONTINENTAL COMMERCIAL PRODUCTS, LLC, a limited liability company organized under the laws of the State of Delaw
March 4, 2011	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 8-K 1 form8k.htm FORM 8K FOR THIRD AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State of Inc
February 14, 2011	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Katy Industries, Inc. (Name of Issuer) Common Stock, $1.00 Par Value Per Share (Title of Class of Securi UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Katy Industries, Inc. (Name of Issuer) Common Stock, $1.00 Par Value Per Share (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2009 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the ru
February 11, 2011	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* KATY INDUSTRIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* KATY INDUSTRIES INC (Name of Issuer) Common Stock (Title of Class of Securities) 486026107 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch
January 6, 2011	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 form8k.htm FORM 8K DATED 1/6/11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2011 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State of Incorporatio
December 20, 2010	LETTER	LETTER
December 6, 2010	CORRESP	K A T Y I N D U S T R I E S, I N C. 305 Rock Industrial Park Drive Bridgeton, MO 63044 CORRESP 1 filename1.htm K A T Y I N D U S T R I E S, I N C. 305 Rock Industrial Park Drive Bridgeton, MO 63044 James W. Shaffer Vice President, Treasurer and Chief Financial Officer TELEPHONE: (314) 656-4388 TELECOPIER: (314) 656-4398 December 6, 2010 By Overnight Delivery, Facsimile Transmittal (703) 813-6985 and EDGAR Transmission Securities and Exchange Commission 100 F Street, N.E. Washington,
November 19, 2010	LETTER	LETTER
November 15, 2010	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: October 1, 2010 [ ] TRANSITION REPORT PURS United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: October 1, 2010 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industri
November 12, 2010	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2010 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission
November 12, 2010	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2010 THIRD QUARTER RESULTS KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2010 THIRD QUARTER RESULTS BRIDGETON, MO ? November 12, 2010 ? Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the third quarter of 2010 of $1.6 million, or $0.20 per share, versus a net loss of $0.8 million, or $0.10 per share, in the third quarter of 2009. Operating loss in accordance with GAAP was $1.3 million, or 3
August 12, 2010	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 2, 2010 [ ] TRANSITION REPORT PURSUAN United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: July 2, 2010 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries,
August 12, 2010	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2010 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission F
August 12, 2010	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2010 SECOND QUARTER RESULTS KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2010 SECOND QUARTER RESULTS BRIDGETON, MO ? August 11, 2010 ? Katy Industries, Inc. (OTC BB: KATY) today reported net income in the second quarter of 2010 of $1.5 million, or $0.06 per diluted share, versus a net loss of $0.5 million, or $0.07 per diluted share, in the second quarter of 2009. Operating loss in accordance with GAAP was $
June 14, 2010	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2010 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
June 10, 2010	EX-24.1	KATY INDUSTRIES, INC. POWER OF ATTORNEY KATY INDUSTRIES, INC. POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the S
June 10, 2010	EX-24.1	KATY INDUSTRIES, INC. POWER OF ATTORNEY KATY INDUSTRIES, INC. POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the S
June 10, 2010	EX-24.1	KATY INDUSTRIES, INC. POWER OF ATTORNEY KATY INDUSTRIES, INC. POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints James W. Shaffer the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of Katy Industries, Inc. (the Company), Forms 3, 4 and 5 in accordance with Section 16(a) of the S
June 2, 2010	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2010 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (State or other jurisdiction of incorporation) (Commission File
June 2, 2010	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. ANNOUNCES A NEW $33.2 MILLION CREDIT AGREEMENT Exhibit 99.1 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. ANNOUNCES A NEW $33.2 MILLION CREDIT AGREEMENT BRIDGETON, MO ? June 1, 2010 ? Katy Industries, Inc. (OTC BB: KATY) today announced that its wholly owned subsidiaries, Continental Commercial Products, LLC and Glit/Gemtex, Ltd. have entered into a new $33.2 million secured credit agreement with PNC Bank, National Association, which i
June 2, 2010	EX-10.1	REVOLVING CREDIT, TERM LOAN SECURITY AGREEMENT PNC BANK, NATIONAL ASSOCIATION (AS LENDER AND AS AGENT) CONTINENTAL COMMERCIAL PRODUCTS, LLC GLIT/GEMTEX, LTD. KATY INDUSTRIES, INC. May 26, 2010 TABLE OF CONTENTS EX-10.1 2 ex10-1.htm REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT DATED MAY 26, 2010 Exhibit 10.1 EXECUTION COPY REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT PNC BANK, NATIONAL ASSOCIATION (AS LENDER AND AS AGENT) WITH CONTINENTAL COMMERCIAL PRODUCTS, LLC AND GLIT/GEMTEX, LTD. (BORROWERS) AND KATY INDUSTRIES, INC. (GUARANTOR) May 26, 2010 TABLE OF CONTENTS Page I. DEFINITIONS. 1.1. Acc
May 13, 2010	10-Q	United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: April 2, 2010 [ ] TRANSITION REPORT PURSUA United States Securities and Exchange Commission Washington, D.C. 20549 FORM 10-Q [ x ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended: April 2, 2010 Or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-05558 Katy Industries
May 12, 2010	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k.htm FORM 8-K FOR Q1 2010 EARNINGS PRESS RELEASE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2010 Katy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 001-05558 75-1277589 (S
May 12, 2010	EX-99.1	KATY NEWS KATY INDUSTRIES, INC. REPORTS 2010 FIRST QUARTER RESULTS EX-99.1 2 ex99-1.htm KATY INDUSTRIES, INC. PRESS RELEASE DATED MAY 12, 2010 KATY NEWS FOR IMMEDIATE RELEASE KATY INDUSTRIES, INC. REPORTS 2010 FIRST QUARTER RESULTS BRIDGETON, MO – May 12, 2010 – Katy Industries, Inc. (OTC BB: KATY) today reported a net loss in the first quarter of 2010 of $2.2 million ($0.27 per share), versus a net loss of $2.4 million ($0.30 per share), in the first quarter of
April 23, 2010	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State
March 25, 2010	EX-10.18	Director Compensation Arrangements EX-10.18 2 ex10-18.htm DIRECTOR COMPENSATION ARRANGEMENTS Exhibit 10.18 Katy Industries, Inc. Director Compensation Arrangements 1. Retainer a. Each director receives a $10,000 annual retainer, paid annually in advance. b. Each director receives the cash equivalent of 2,000 shares of the Company’s common stock at the closing stock price the day prior to the annual meeting. c. The chair of the Comp

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