-----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, OsO7NgaXg8l3J/wR+ZJHF4Kx9T216DhghwgtKQK94FiVyQfx5uECVXGnpAs9DlWp cGUiJiBXkDYEY3JbF+kvlQ== 0000905148-98-000389.txt : 19980310 0000905148-98-000389.hdr.sgml : 19980310 ACCESSION NUMBER: 0000905148-98-000389 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980228 FILED AS OF DATE: 19980309 SROS: NASD 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: 98560535 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: FANT ANTHONY J CENTRAL INDEX KEY: 0001055933 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2154 HIGHLAND AVENUE CITY: BIRMINGHAM STATE: AL ZIP: 35205 BUSINESS PHONE: 205 933 1030 MAIL ADDRESS: STREET 1: 2154 HIGHLAND AVENUE CITY: BIRMINGHAM STATE: AL ZIP: 35205 4 1 FORM 4 / / CHECK THIS BOX IF NO LONGER OMB APPROVAL SUBJECT TO SECTION 16. FORM 4 ------------------- OF FORM 5 OBLIGATIONS MAY OMB Number 3235-0287 CONTINUE. SEE INSTRUCTION 1(B). Expires: September 30, 1998 Estimated average burden hours per response.....0.5 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 HEI, Inc. (HEII) ------------------------------------------------------------ Fant Anthony J. 3. IRS or Social 4. Statement for - --------------------------------------------- Security Number of Month/Year (Last) (First) (Middle) Reporting Person (Voluntary) February 1998 2154 Highland Avenue ------------------------ - --------------------------------------------- 5. If Amendment, (Street) Date of Original (Month/Year) Birmingham AL 35205 - --------------------------------------------- (City) (State) (Zip) (table continued) - --------------------------------------------- ----------------------------------------------------------- 1. Name and Address of Reporting Person 6. Relationship of Reporting Person to Issuer (Check all applicable) Fant Anthony J. ___ Director X 10% Owner - --------------------------------------------- --- (Last) (First) (Middle) ___ Officer (give ___ Other (specify below) title below) 2154 Highland Avenue ----------------------------------------------------------- - --------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) (Street) X Form filed by One Reporting Person Birmingham AL 35205 --- - --------------------------------------------- ___ Form filed by More than One Reporting Person (City) (State) (Zip)
TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security 2. Transaction Date (Month/ 3. Transaction Code (Instr. 8) (Instr. 3) Day/Year) - --------------------------- --------------------------- ------------------------------------ Code V ----------------- ----------------- Common Stock $.05 par value 2/13/98 P Common Stock $.05 par value 2/13/98 P Common Stock $.05 par value 2/13/98 P Common Stock $.05 par value 2/13/98 P Common Stock $.05 par value 2/13/98 P Common Stock $.05 par value 2/13/98 P Common Stock $.05 par value 2/17/98 P Common Stock $.05 par value 2/17/98 P Common Stock $.05 par value 2/18/98 P Common Stock $.05 par value 2/18/98 P Common Stock $.05 par value 2/20/98 P Common Stock $.05 par value _______ ____ (table continued) 1. Title of Security 4. Securities Acquired (A) or 5. Amount of 6. Ownership 7. Nature of (Instr. 3) Disposed of (D) (Instr. 3, 4 Securities Form: Indirect and 5) Beneficially Direct Beneficial Owned at End of (D) or Ownership Month (Instr. 3 Indirect (Instr. 4) and 4) (I) (Instr. 4) ------------------------------ Amount (A) or Price (D) - --------------------------- -------- -------- --------- ------------------- -------------- -------------- Common Stock $.05 par value 2,000 A $6.6250 Common Stock $.05 par value 2,000 A $6.5000 Common Stock $.05 par value 10,000 A $6.5625 Common Stock $.05 par value 10,000 A $6.5625 Common Stock $.05 par value 25,000 A $7.1250 Common Stock $.05 par value 5,800 A $7.1250 Common Stock $.05 par value 30,000 A $7.4375 Common Stock $.05 par value 30,000 A $7.5625 Common Stock $.05 par value 50,000 A $7.4375 Common Stock $.05 par value 65,000 A $7.5000 Common Stock $.05 par value 15,000 A $6.5000 714,900 D Common Stock $.05 par value - - - 10,000 I By Corporation (1)
*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 Derivative Security 2. Conver- 3. Trans- 4. Transaction 5. Number of 6. Date Exer- (Instr. 3) sion or action Code Derivative cisable and Ex- Exercise Date (Instr. 8) Securities piration Date Price of Acquired (A) or (Month/Day/ Deriv- (Month/ Disposed of (D) Year) ative Day/ (Instr. 3,4, and 5) Security Year) ----------------- ---------------------- -------------------- Code V (A) (D) Date Expira- Exer- tion cisable Date - -------------------------------- ------------ ------------ ------- ------- -------- ---------- --------- --------- (table continued) 1. Title of Derivative Security 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na- (Instr. 3) lying Securities of of ship ture (Instr. 3 and 4) Deriv- Deriv- Form of In- ative ative of direct ----------------------------- Secur- Secur- De- Bene- ity ities rivative ficial (Instr. Bene- Secu- Own- Amount or 5) ficially rity: ership Title Number of Owned Direct (Instr. 4) Shares at End (D) or of Indi- Month rect (I) (Instr. 4) (Instr. 4) - -------------------------------- ------------- -------------- ------------- ------------ -------------- -------------
Explanation of Responses: (1) SHARES HELD BY FANT INDUSTRIES INC. OF WHICH REPORTING PERSON IS SOLE STOCKHOLDER, DIRECTOR AND PRESIDENT. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Anthony J. Fant March 9, 1998 ________________________________ --------------- **Signature of Reporting Person Date 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 SEC 1474 (8/92) -----END PRIVACY-ENHANCED MESSAGE-----