-----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, VSEu06P+1B1/gwI2r7hu1KrL89/FAxqGmbr9aBUV6/u0XiWL8lPV7awVrF/sm3WO f/8a0ivcH9HZnYCGfi9lLQ== 0000905148-98-001628.txt : 19980904 0000905148-98-001628.hdr.sgml : 19980904 ACCESSION NUMBER: 0000905148-98-001628 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980831 FILED AS OF DATE: 19980903 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: 98703965 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 T:\EDGAR\WLDMN-F4.TXT U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 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(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 to Issuer (Check all applicable) Fant Anthony J. HEI, Inc. (HEII) -------------------------------------------- ----------------------------------- _______________________________________ 3. IRS or Social Security 4. Statement for X Director X 10% Owner (Last) (First) (Middle) Number of Reporting Month/Year --- --- Person (Voluntary) ___ Officer (give ____ Other August 1998 title below) (specify below) 2154 Highland Avenue 5. If Amendment, ____________________________________________________ Date of Original (Street) (Month/Year) Birmingham AL 35205 ____________________________________________________ (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 8/28/98 P 470,948 A $9.000 1,195,848 (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 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) - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- ----- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- -- -- ---------- ---------- ------- ----- - ------------ ----------- ---------- ------- ----- ----- ------ ------- ------ --------- --- - ---------- ---------- ------- -----
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 September 3, 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 -----END PRIVACY-ENHANCED MESSAGE-----