8-K 1 c10844e8vk.htm CURRENT REPORT e8vk
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT PURSUANT
TO SECTION 13 OR 15(D) OF
THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported) December 15, 2006
HEI, Inc.
 
(Exact name of registrant as specified in its charter)
         
Minnesota   0-10078   41-0944876
 
(State or other jurisdiction   (Commission   (IRS Employer
of incorporation)   File Number)   Identification No.)
     
PO Box 5000, 1495 Steiger Lake Lane, Victoria, Minnesota   55386
 
(Address of principal executive offices)   (Zip Code)
(Registrant’s telephone number, including area code) (952) 443-2500
Not Applicable
 
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):
o   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 

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Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 9.01 Financial Statements and Exhibits
SIGNATURES
EXHIBIT INDEX
Press Release

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3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
     As previously reported, on December 5, 2006, HEI, Inc. (the “Company”) received a notice from the Listing Qualifications Department of The Nasdaq Stock Market indicating that, based on the Company’s Form 10-K for the period ended September 2, 2006, the Company’s stockholders’ equity does not comply with the minimum $10,000,000 stockholders’ equity requirement for continued listing on The Nasdaq Global Market as set forth in Marketplace Rule 4450(a)(3). The December 5, 2006 notice stated that the Company may, among other things, apply to transfer its common stock to The Nasdaq Capital Market if the Company satisfies the requirements for inclusion on The Nasdaq Capital Market.
     On December 15, 2006, the Board of Directors authorized management to transfer the listing of the Company’s common stock to the Nasdaq Capital Market. The Company submitted an application to transfer the listing of its common stock to the Nasdaq Capital Market on December 15, 2006.
     A press release announcing the application to transfer the listing of the Company’s common stock to the Nasdaq Capital Market is attached hereto as Exhibit 99.1.
Section 9 — Financial Statements and Exhibits
Item 9.01 Financial Statements and Exhibits
     (c) Exhibits:
  99.1   Press Release dated December 18, 2006

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SIGNATURES
     Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
    HEI, INC.
 
        
Date: December 18, 2006
        
 
  By   /s/ Mark B. Thomas
 
       
 
      Mark B. Thomas
 
      Its: Chief Executive Officer and Chief Financial Officer

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EXHIBIT INDEX
     
Exhibit No.   Description
99.1
  Press release dated December 18, 2006

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