SHAFFER JAMES W [Rocket]

Date	Name	Symbol	Type	Security	Shares	Price	Value	Ownership	Reported
03/28/2011	KATY INDUSTRIES INC	KATY	Disposition	Option to purchase Common Stock	125k	$1.16	$145k		03/28/2011
03/28/2011	KATY INDUSTRIES INC	KATY	Disposition	Stock Appreciation Rights	20k	$1.60	$32k		03/28/2011