-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Lby9BVXuVGgc0hvWt+/DGlSaLKyX48PwFdhkfFD2lFH++GsGVlHJ+DFHXhBnfeDV aHLoFvMx7oJKcIiAx9ne1A== /in/edgar/work/0000950133-00-003978/0000950133-00-003978.txt : 20001003 0000950133-00-003978.hdr.sgml : 20001003 ACCESSION NUMBER: 0000950133-00-003978 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000920 FILED AS OF DATE: 20001002 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HAWKER PACIFIC AEROSPACE CENTRAL INDEX KEY: 0001049625 STANDARD INDUSTRIAL CLASSIFICATION: [3728 ] IRS NUMBER: 953528840 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-29490 FILM NUMBER: 733631 BUSINESS ADDRESS: STREET 1: 11240 SHERMAN WAY CITY: SUN VALLEY STATE: CA ZIP: 91352-4942 BUSINESS PHONE: 8187656201 MAIL ADDRESS: STREET 1: 11240 SHERMAN WAY CITY: SUN VALLEY STATE: CA ZIP: 913524942 COMPANY DATA: COMPANY CONFORMED NAME: LLUFFHANSA TECHNIK AG CENTRAL INDEX KEY: 0001125576 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OWNER IRS NUMBER: 32429 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: WEG BEIM JAGER 193 STREET 2: D 22334 CITY: HAMBURY STATE: I8 ZIP: 00000 BUSINESS PHONE: 04940507040 3 1 w40929f3e3.txt FORM 3 1
FORM 3 OMB Approval UNITED STATES SECURITIES AND EXCHANGE COMMISSION -------------------------- WASHINGTON D.C. 20549 OMB Number:3235-0104 Expires: December 31, 2001 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Estimated average burden hours per response...0.5 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 (Print or Type Responses) Section 30(f) of the Investment Company Act of 1940. - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person*| 2. Date of Event Requiring | 4. Issuer Name and Ticker or Trading Symbol | Statement | Lufthansa Technik AG | (Month/Day/Year) | Hawker Pacific Aerospace | |---------------------------------------------------------- | 09/20/2000 | 5. Relationship of Reporting Person(s) to Issuer - -------------------------------------------------------------------------| (Check all applicable) (Last) (First) (Middle) | 3. IRS or Social | | Security Number | _______Director ___X___ 10% Owner Weg beim Jager 193 | of Reporting | - ----------------------------------------| Person (Voluntary) | _______ Officer (give _______ Other (specify (Street) | | title below) below) D-22334 Hamburg, Germany | | - --------------------------------------- | | (City) (State) (Zip) | |--------------------------------------------------------- | | 6. If Amendment, Date of | | Original (Month/Day/Year) | | | |--------------------------------------------------------- | | 7. Individual or Joint/Group | | Filing (Check Applicable Line) | | _ Form Filed by the Reporting Person | | _ Form Filed by More than One Reporting Person | | - ------------------------------------------------------------------------------------------------------------------------------------ | Table I - Non Derivative Securities Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security | 2. Amount of Securities | 3. Ownership |4. Nature of Indirect (Instr. 4) | Beneficially Owned | Form Direct | Beneficially Owner- | (Instr. 4) | (D) or Indirect | Ship | | (f) (Instr. 5) | (Instr. 5) - -------------------------------------------------------|---------------------------------------------------------------------------- | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- COMMON STOCK | 2,341,495 | D | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- COMMON STOCK | 326,128 | I | By Shareholders Rights - -------------------------------------------------------|-------------------------------| | Agreement between | | | Hawker Pacific - -------------------------------------------------------|-------------------------------| | Aerospace, Listed | | | Shareholders, and - -------------------------------------------------------|-------------------------------| | Lufthansa Technik AG, | | | dated September 20, - -------------------------------------------------------|-------------------------------| | 2000. | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- | | | - -------------------------------------------------------|-------------------------------|--------------------|----------------------- Reminder: Report on a separate line for each class of securities beneficially owned or directly or Indirectly * If the form is filed more than one reporting person, see Instruction 5(b)(v). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. (Over SEC 1473 (3-99
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FORM 3 (CONTINUED) TABLE II --DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security | 2. Date Exer- |3. Title and Amount of Securities | 4. Conver- | 5. Owner- | 6. Nature of (Instr. 4) | cisable and | Underlying Derivative Security | sion or | ship | Indirect | Expiration | (Instr. 4) | Exercise| Form of | Beneficial | Date | | Price of| Deriv- | Ownership | (Month/Day/ | | Deri- | ative | (Instr. 5) | Year) | | vative | Security:| |------------------------------------------------------- Security| Direct | |Date |Expira- | Title | Amount | | (D) or | |Exer- |tion | | or | | Indirect | |cisable |Date | | Number | | (I) | | | | | of | | (Instr. 5) | | | | | Shares | | | - ------------------------------------------------------------------------------------------------------------------------------------ 8% Series C Convertible | N/A | N/A | Common Stock |Variable | Variable (1)| D | Preferred Stock | | | |(1) | | | - ------------------------------------------------------------------------------------------------------------------------------------ Warrants | (2) |09/19/2001| Common Stock |$2,500,000|$4.25 | D | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The 8% Series C Convertible Preferred Stock has a variable conversion price and is convertible to Common Stock on a variable ratio. If converted on September 29, 2000, the conversion price would be $4.36 per share and the 300 shares would be convertible into 733,035 shares of Common Stock. (2) The Warrants are only exercisable once approved by a majority vote of the shareholders of Hawker Pacific Aerospace. /s/ KNUT WISZNIEWSKI 9/29/2000 ------------------------------- -------------- **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 is insufficient, See instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----