-----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, MEV6lTz5N6AOfrOjjhMMQq8xRDx38wQ5shmEZ7UwKSGQVwy7lKsqSQMPatKl7yrO xdtbQQo8Nv2gWetSlnlVgA== 0000905148-00-000804.txt : 20000331 0000905148-00-000804.hdr.sgml : 20000331 ACCESSION NUMBER: 0000905148-00-000804 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000204 FILED AS OF DATE: 20000330 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HEI INC CENTRAL INDEX KEY: 0000351298 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 410944876 STATE OF INCORPORATION: MN FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-10078 FILM NUMBER: 586355 BUSINESS ADDRESS: STREET 1: 1495 STEIGER LAKE LN STREET 2: P O BOX 5000 CITY: VICTORIA STATE: MN ZIP: 55386 BUSINESS PHONE: 6124432500 MAIL ADDRESS: STREET 1: P O BOX 5000 STREET 2: 1495 STEIGER LAKE LANE CITY: VICTORIA STATE: MN ZIP: 55386 COMPANY DATA: COMPANY CONFORMED NAME: FINCH EDWIN W III CENTRAL INDEX KEY: 0001070552 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 600 20TH ST STE 350 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 2053283098 4 1 T:\EDGAR\FLYNN\677386.TXT U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 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 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person HEI, Inc. (HEII) to Issuer (Check all applicable) Finch, III Edwin W. - ----------------------------------------- -------------------------------------------- (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for X Director --- 10% Owner Number of Reporting Month/Year --- Person (Voluntary) February 2000 --- Officer (give --- Other title below) (specify below) 600 20th Street, Suite 350 5. If Amendment, ____________________________________________________ Date of Original (Street) (Month/Year) Birmingham AL 35203 ____________________________________________________ (City) (State) (Zip) 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 - ------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Month/ (Instr. 8) Owned at Direct Bene- Day/ End of (D) or ficial Year) Month Indirect Owner- (Instr. 3 (I) ship and 4) (Instr. 4) (Instr. 4) -------------------------------------------- Code V Amount (A) or Price (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock $.05 par value 2/4/00 P 5,000 A $10.75 8,250 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than reporting person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Conver- 3. Trans- 4. Transac- 5. Number of 6. Date Exer- 7. Title and 8. Price 9. Number 10. Owner- 11. Na- Derivative sion or action tion Derivative cisable and Amount of of of ship ture Security Exercise Date Code Securities Expiration Underlying Deriva- Deriva- Form of of (Instr. 3) Price of (Instr. 8) Acquired (A) Date (Month/ Securities tive tive Deriva- In- Deriva- (Month/ or Disposed Day/Year) (Instr.3 Security Securi- tive di- tive Day/ of (D) and 4) (Instr. 5) ties Bene- Security: rect Security Year) (Instr. 3, ficially Direct Bene- 4, and 5) Owned at (D) or fi- End of Indirect cial Month (I) Own- (Instr. 4) (Instr. 4) er- ship ------------------------------------- (Instr. Date Expir- 4) Exer- ation Amount or cisable Date Title Number of Shares ------- ----- ----- ----- Code V (A) (D) - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- Stock Option (1) 11/18/08 Common 55,000 65,000 D Stock $.05 par value - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- Stock Option (2) 01/20/10 Common 10,000 65,000 D Stock $.05 par value - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- -- -- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- --- - ---------- ---------- ------- -----
Explanation of Responses: (1) The option will become exercisable in full upon the earliest to occur of (i)11/18/05, or (ii) the first date on which the market value per share of the common shares equals or exceeds $25.00. (2) The option will become exercisable in full upon the earliest to occur of (i)01/20/07, or (ii) the first date on which the market value per share of the common shares equals or exceeds $25.00.
**Intentional misstatements or omissions of facts constitute Federal Criminal /s/ Edwin W. Finch, III March 30, 2000 Violations. --------------------------- --------------- See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure.
-----END PRIVACY-ENHANCED MESSAGE-----