Kessen Christopher C – ‘5’ for 12/31/01 re: Duct Utility Construction & Technologies Inc.

As of:  Monday, 4/8/02   ·   For:  12/31/01   ·   Accession #:  1019687-2-557   ·   File #:  0-13066

in

this entire Filing. an “Entity” Search.

Show

Documents searched

and

each “hit”. the 1st “hit”.

↓↑Hints

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 5   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 5           Annual Statement of Changes in Beneficial              3     15K 
                Ownership of Securities by an Insider                            

5
1st Page of 3
TOC
↑Top
Previous
Next
↓Bottom
Just 1st
 
FORM 5                                                                          
                                                  ------------------------------
                                                OMB APPROVAL
                                                  ------------------------------
                                                  OMB Number           3235-0362
                                                 Expires:     January 31, 2005
                                            Estimated average burden
                                                  hours per response ....... 1.0
                                                  ------------------------------

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, 
Section 17(a) of the Public Utility Holding Company Act of 1935 or
 Section 30(f) of the Investment Company Act of 1940

[_]  Check box if no longer subject to Section 16. Form 4 or Form 5 obligations 
may continue. See Instruction 1(b).                                   

[X]  Form 3 Holdings Reported                                                   

[_]  Form 4 Transactions Reported                                               

--------------------------------------------------------------------------------
1.   Name and Address of Reporting Person*                                      

Kessen                             C.               Christopher           
--------------------------------------------------------------------------------
(Last)                            (First)              (Middle)           

1101 Saint Gregory Street, Suite 260                                  
--------------------------------------------------------------------------------
(Street)

Cincinnati                         OH                  45202          
--------------------------------------------------------------------------------
(City)                            (State)                (Zip)            

--------------------------------------------------------------------------------
2.   Issuer Name and Ticker or Trading Symbol                                   

Duct Utility Construction & Technologies, Inc. (DUCT)                 
--------------------------------------------------------------------------------
3.   IRS Identification Number of Reporting Person, if an entity (Voluntary)    

272-74-4055                                                           
--------------------------------------------------------------------------------
4.   Statement for Month/Year                                                   

12/31                                                                 
--------------------------------------------------------------------------------
5.   If Amendment, Date of Original (Month/Year)                                

--------------------------------------------------------------------------------
6.   Relationship of Reporting Person(s) to Issuer                              
(Check all applicable)                                                

[X]  Director                             [ ]  10% Owner              
[X]  Officer (give title below)           [ ]  Other (specify below)  

 President
----------------------- 
--------------------------------------------------------------------------------
7.   Individual or Joint/Group Reporting                                        
(Check applicable line)                                               

[X]  Form Filed by One Reporting Person                               
[_]  Form Filed by More than One Reporting Person                     
--------------------------------------------------------------------------------

5
2nd Page of 3
TOC
1st
Previous
Next
↓Bottom
Just 2nd
================================================================================
 Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned 
================================================================================

                                                        [Enlarge/Download Table]

                                                                                          5.             6.                         
                                                          4.                              Amount of      Owner-                     
                                                          Securities Acquired (A) or      Securities     ship                       
                                                          Disposed of (D)                 Beneficially   Form:     7.               
                                                          (Instr. 3, 4 and 5)             Owned at End   Direct    Nature of        
                               2.            3.           -----------------------------   of Issuer's    (D) or    Indirect         
1.                             Transaction   Transaction                  (A)             Fiscal Year    Indirect  Beneficial       
Title of Security              Date          Code             Amount      or     Price    (Instr. 3      (I)       Ownership        
(Instr. 3)                     (mm/dd/yy)    (Instr. 8)                   (D)             and 4)         (Instr.4) (Instr. 4)       
------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                    
Common Stock                   09/05/01       J                70,000     A      4.50     1,350,000       D                         
------------------------------------------------------------------------------------------------------------------------------------
Common Stock                   11/05/01       J               250,000     A      0.70                     D                         
------------------------------------------------------------------------------------------------------------------------------------
Common Stock                   12/20/01       S                70,000     D      0.70                     D                         
------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

====================================================================================================================================

*  If the form is filed by more than one Reporting Person, see Instruction      
4(b)(v).                                                                  

Reminder:  Report on a separate line for each class of  securities  beneficially
owned directly or indirectly.                                                   

                                                                          (Over)
                                                                 SEC 2270 (3-99)

5
Last Page of 3
TOC
1st
Previous
Next
↓Bottom
Just 3rd
FORM 5 (continued)                                                              

Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned  
(e.g., puts, calls, warrants, options, convertible securities)

================================================================================

                                                        [Enlarge/Download Table]

                                                                                                          9.        10.             
                                                                                                          Number    Owner-          
                                                                                                          of        ship            
                    2.                                                                                    Deriv-    of              
                    Conver-                    5.                              7.                         ative     Deriv-   11.    
                    sion                       Number of                       Title and Amount           Secur-    ative    Nature 
                    or                         Derivative    6.                of Underlying     8.       ities     Secur-   of     
                    Exer-                      Securities    Date              Securities        Price    Bene-     ity:     In-    
                    cise     3.                Acquired (A)  Exercisable and   (Instr. 3 and 4)  of       ficially  Direct   direct 
                    Price    Trans-   4.       or Disposed   Expiration Date   ----------------  Deriv-   Owned     (D) or   Bene-  
1.                  of       action   Trans-   of (D)        (Month/Day/Year)            Amount  ative    at End    In-      ficial 
Title of            Deriv-   Date     action   (Instr. 3,    ----------------            or      Secur-   of        direct   Owner- 
Derivative          ative    (Month/  Code     4 and 5)      Date     Expira-            Number  ity      Year      (I)      ship   
Security            Secur-   Day/     (Instr.  ------------  Exer-    tion               of      (Instr.  (Instr.   (Instr.  (Instr.
(Instr. 3)          ity      Year)    8)        (A)   (D)    cisable  Date     Title     Shares  5)       4)        4)       4)     
------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                    

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------

====================================================================================================================================

Explanation of Responses:                                                       

/s/ C. Christopher Kessen                                     March 30, 2002    
---------------------------------------------            -----------------------
**Signature of Reporting Person                             Date    

**   Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).                 

Note:  File three copies of this form, one of which must be manually signed.    
 If space provided is insufficient, see Instruction 6 for procedure.

                                                                          Page 2

Dates Referenced Herein   and   Documents Incorporated by Reference

				Referenced-On Page
This ‘5’ Filing		Date		First		Last			Other Filings
		1/31/05		1
Filed on:		4/8/02							5
		3/30/02		3
For Period end:		12/31/01							10KSB,  10KSB/A,  5,  NT 10-K
									List all Filings