-----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, M8rrQyUCDnZa+/vtB+dssf69d2tPn7APCB/D8+rxtIa4AgsY71YfQF7Zg2YHRTlq m001tDLhXJGa2fLUlRDKug== 0001011438-03-000014.txt : 20030117 0001011438-03-000014.hdr.sgml : 20030117 20030117161523 ACCESSION NUMBER: 0001011438-03-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030115 FILED AS OF DATE: 20030117 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEITH COMPANIES INC CENTRAL INDEX KEY: 0001080922 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING SERVICES [8711] IRS NUMBER: 330203193 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26561 FILM NUMBER: 03518035 BUSINESS ADDRESS: STREET 1: 19 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-923-6000 MAIL ADDRESS: STREET 1: 19 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KEITH ARAM H CENTRAL INDEX KEY: 0001105072 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2955 RED HILL ROAD CITY: COSTA MESA STATE: CA ZIP: 92626 BUSINESS PHONE: 7145400800 MAIL ADDRESS: STREET 1: 2955 RED HILL ROAD CITY: COSTA MESA STATE: CA ZIP: 92626 4 1 form-4_akeith.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 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(h) 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). ________________________________________________________________________________ 1. Name and Address of Reporting Person* KEITH ARAM H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 19 TECHNOLOGY DRIVE - -------------------------------------------------------------------------------- (Street) IRVINE CA 92618 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol THE KEITH COMPANIES, INC. (NASDAQ NATIONAL MARKET - "TKCI") ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Day/Year 01/15/2003 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [X] 10% Owner [X] Officer (give title below) [_] Other (specify below) CHIEF EXECUTIVE OFFICER ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Amount of Owner- Securities Acquired (A) or Securities ship 3. Disposed of (D) Beneficially Form: 7. 2A. Transaction (Instr. 3, 4 and 5) Owned Follow- Direct Nature of 2. Deemed Code ----------------------------- ing Reported (D) or Indirect 1. Transaction Execution (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date Date, if any ------------ or (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- COMMON STOCK 1/15/2003 S(1) 100 D $12.25 - ----------------------------------------------------------------------------------------------------------------------------------- COMMON STOCK 1/15/2003 S(1) 1,900 D $12.00 - ----------------------------------------------------------------------------------------------------------------------------------- COMMON STOCK 1/16/2003 S(1) 1,100 D $12.00 1,318,717 D - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- =================================================================================================================================== (1) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2002.
(Print or Type Response) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form of 2. Deriv- Deriv- Conver- 5. 7. ative ative 11. sion Number of Title and Amount Secur- Secur- Nature or 3A. Derivative 6. of Underlying 8. ities ities of Exer- Deemed 4. Securities Date Securities Price Bene- Benefi- In- cise 3. Execu- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficial- cially direct Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- ly Owned Owned Bene- 1. of action Date, Code of (D) (Month/Day/Year) Amount ative Follow- at End ficial Title of Deriv- Date if any (Instr. (Instr. 3, ----------------- or Secur- ing Re of Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity ported Month ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. Trans- (Instr. (Instr (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) action(s) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: /S/ ARAM H. KEITH JANUARY 16, 2003 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** 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. 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-----