KATY INDUSTRIES INC (KATY) [Rocket]

Date	Name	Title	Type	Security	Shares	Price	Value	Ownership	Reported
07/21/2017	Victory Park Capital Advisors, LLC	10% Owner	Other (disposition)	Convertible Debt	0	$0.00	$0	By Jansan Acquisition LLC	07/21/2017
05/26/2016	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$1.50	$3k		05/26/2016
05/26/2016	Crigler Pamela	Director	Grant	Stock Appreciation Right	2k	$1.50	$3k		05/26/2016
05/26/2016	MARK RICHARD A	Director	Grant	Stock Appreciation Right	2k	$1.50	$3k		05/26/2016
05/21/2015	Crigler Pamela	Director	Grant	Stock Appreciation Right	2k	$2.53	$5.1k		05/21/2015
05/21/2015	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$2.53	$5.1k		05/21/2015
05/22/2014	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$1.15	$2.3k		05/22/2014
05/22/2014	Crigler Pamela	Director	Grant	Stock Appreciation Right	2k	$1.15	$2.3k		05/22/2014
05/23/2013	CARROLL WALLACE E JR	10% Owner	Grant	Stock Appreciation Right	2k	$0.94	$1.9k		05/23/2013
05/23/2013	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$0.94	$1.9k		05/23/2013
05/24/2012	CARROLL WALLACE E JR	10% Owner	Grant	Stock Appreciation Right	2k	$0.53	$1.1k		05/24/2012
05/24/2012	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$0.53	$1.1k		05/24/2012
05/25/2011	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$0.20	$400		05/25/2011
05/25/2011	BARATTA ROBERT M	Director	Grant	Stock Appreciation Right	2k	$0.20	$400		05/25/2011
05/25/2011	CARROLL WALLACE E JR	10% Owner	Grant	Stock Appreciation Right	2k	$0.20	$400		05/25/2011
03/28/2011	SHAFFER JAMES W	VP, Treasurer and CFO	Disposition	Option to purchase Common Stock	125k	$1.16	$145k		03/28/2011
03/28/2011	SHAFFER JAMES W	VP, Treasurer and CFO	Disposition	Stock Appreciation Rights	20k	$1.60	$32k		03/28/2011
03/28/2011	FELDMAN DAVID J	President and CEO	Disposition	Option to purchase Common Stock	750k	$1.20	$900k		03/28/2011
06/09/2010	CARROLL WALLACE E JR	10% Owner	Grant	Stock Appreciation Right	2k	$1.75	$3.5k		06/09/2010
06/09/2010	CARROLL DANIEL B	Director	Grant	Stock Appreciation Right	2k	$1.75	$3.5k		06/09/2010
06/09/2010	BARATTA ROBERT M	Director	Grant	Stock Appreciation Right	2k	$1.75	$3.5k		06/09/2010
03/12/2010	Carter Edward	VP Sales and Marketing	Grant	Stock Apprciation Rights	15k	$1.60	$24k		03/12/2010
03/12/2010	Redmond Robert D	VP Operations	Grant	Stock Apprciation Rights	15k	$1.60	$24k		03/12/2010
03/12/2010	Mata Joseph E	VP Human Resources	Grant	Stock Apprciation Rights	10k	$1.60	$16k		03/12/2010
03/12/2010	SHAFFER JAMES W	VP, Treasurer and CFO	Grant	Stock Appreciation Rights	20k	$1.60	$32k		03/12/2010