-----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, DuZx9gVp9jng+ZeX4kw1t4+sI4wAtsvrZhXafQoU4dqbQe2/U8kw8+hcHsWUj7ll sS9rK1gENVzhyzIR0WYtyA== 0001085256-02-000134.txt : 20020827 0001085256-02-000134.hdr.sgml : 20020827 20020826185704 ACCESSION NUMBER: 0001085256-02-000134 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020827 GROUP MEMBERS: RS INVESTMENT MANAGEMENT, L.P. 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: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33908 FILM NUMBER: 02748820 BUSINESS ADDRESS: STREET 1: 1495 STEIGER LAKE LN STREET 2: P O BOX 5000 CITY: VICTORIA STATE: MN ZIP: 55386 BUSINESS PHONE: 9524432500 MAIL ADDRESS: STREET 1: P O BOX 5000 STREET 2: 1495 STEIGER LAKE LANE CITY: VICTORIA STATE: MN ZIP: 55386 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RS INVESTMENT MANAGEMENT CO LLC CENTRAL INDEX KEY: 0001085256 IRS NUMBER: 943321067 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 388 MARKET STREET STREET 2: SUITE 200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4155912700 MAIL ADDRESS: STREET 1: 388 MARKET STREET STREET 2: SUITE 200 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13D/A 1 heii13da7.txt OMB APPROVAL OMB Number:3235-0145 Expires: August 31, 1999 Estimated average burden hours per response 14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) HEI, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 404160103 (CUSIP Number) August 23, 2002 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /_X_/ Rule 13d-1(a) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 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 control number. SEC 1745 (3-98) Page 1 of 9 CUSIP No. 404160103 13D Page 2 of 9 - ---------------------------------------------------------------- 1 NAME OF REPORTING PERSONS IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RS Investment Management Co. LLC - ---------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)/ / (b)/ / - ---------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------------------------------------------------------------- 5 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF 6 SOLE VOTING POWER SHARES -0- BENEFICIALLY --------------------------------------- OWNED BY 7 SHARED VOTING POWER EACH -1,748,150- REPORTING --------------------------------------- PERSON 8 SOLE DISPOSITIVE POWER WITH -0- --------------------------------------- 9 SHARED DISPOSITIVE POWER -1,748,150- - ---------------------------------------------------------------- 10 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -1,748,150- - ---------------------------------------------------------------- 11 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) - ---------------------------------------------------------------- 12 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 29.1% - ---------------------------------------------------------------- 13 TYPE OF REPORTING PERSON (See Instructions) OO, HC - ---------------------------------------------------------------- CUSIP No. 404160103 13D Page 3 of 9 - ---------------------------------------------------------------- 1 NAME OF REPORTING PERSONS IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RS Investment Management, L.P. - ---------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)/ / (b)/ / - ---------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------------------------------------------------------------- 5 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------------------------------------------- NUMBER OF 6 SOLE VOTING POWER SHARES -0- BENEFICIALLY --------------------------------------- OWNED BY 7 SHARED VOTING POWER EACH -1,748,150- REPORTING --------------------------------------- PERSON 8 SOLE DISPOSITIVE POWER WITH -0- --------------------------------------- 9 SHARED DISPOSITIVE POWER -1,748,150- - ---------------------------------------------------------------- 10 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -1,748,150- - ---------------------------------------------------------------- 11 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) - ---------------------------------------------------------------- 12 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 29.1% - ---------------------------------------------------------------- 13 TYPE OF REPORTING PERSON (See Instructions) IA, PN - ---------------------------------------------------------------- CUSIP No. 404160103 13D Page 4 of 9 - ---------------------------------------------------------------- 1 NAME OF REPORTING PERSONS IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RS Diversified Growth Fund - ---------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)/ / (b)/ / - ---------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ---------------------------------------------------------------- 5 CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts - ---------------------------------------------------------------- NUMBER OF 6 SOLE VOTING POWER SHARES -0- BENEFICIALLY --------------------------------------- OWNED BY 7 SHARED VOTING POWER EACH -1,010,000- REPORTING --------------------------------------- PERSON 8 SOLE DISPOSITIVE POWER WITH -0- --------------------------------------- 9 SHARED DISPOSITIVE POWER -1,010,000- - ---------------------------------------------------------------- 10 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -1,010,000- - ---------------------------------------------------------------- 11 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) - ---------------------------------------------------------------- 12 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.8% - ---------------------------------------------------------------- 13 TYPE OF REPORTING PERSON (See Instructions) IV - ---------------------------------------------------------------- CUSIP No. 404160103 13D Page 5 of 9 ITEM 1. This Schedule 13D is filed with respect to the Common Stock of HEI, Inc. ITEM 2. This Schedule 13D is filed on behalf of the following: I. (a)RS Investment Management Co. LLC is a Delaware Limited Liability Company. (b) 388 Market Street, San Francisco, CA 94111 (c) holding company (d) no convictions in criminal proceedings (e) no civil or administrative proceedings II. (a)RS Investment Management, L.P. is a California Limited Partnership. (b) 388 Market Street, San Francisco, CA 94111 (c) registered investment adviser (d) no convictions in criminal proceedings (e) no civil or administrative proceedings III. (a)RS Diversified Growth Fund is a series of a Massachusetts Business Trust. (b) 388 Market Street, San Francisco, CA 94111 (c) investment company (d) no convictions in criminal proceedings (e) no civil or administrative proceedings CUSIP No. 404160103 13D Page 6 of 9 ITEM 3 The securities with respect to which this Schedule 13D is filed were purchased by Funds managed by RSIM, L.P. and RS Growth Group LLC using working capital contributed by the Funds' respective partners and shareholders. ITEM 4 This schedule is being filed based on a change in the ownership position of Funds managed by RSIM, L.P. and RS Growth Group LLC due to acquisitions. All shares are held for investment purposes only. The reporting persons may sell all or part or acquire additional securities of the Issuer depending on market conditions and other economic factors. ITEM 5 The aggregate number and percentage of the class of securities identified pursuant to Item 1 of this Schedule 13D that are beneficially owned by the persons listed in Item 2 are as follows: RS Investment Mgmt Co. LLC 1,748,150 29.1% RS Investment Mgmt, L.P. 1,748,150 29.1% RS Diversified Growth Fund 1,010,000 16.8% All percentages in this table are based, pursuant to 13D-1(e) of the Securities Exchange Act of 1934, as amended, on 6,010,256 shares of Common Stock of the Issuer outstanding as of June 1, 2002. RS Investment Mgmt Co. LLC is a Delaware Limited Liability Company that is deemed to have shared dispositive power over 1,748,150 shares of the Issuer. RS Investment Mgmt, L.P. is a California Limited Partnership that is deemed to have shared dispositive power over 1,748,150 shares of the Issuer. RS Diversified Growth Fund is an investment company that is a Series of a Massachusetts Business Trust with shared dispositive power over 1,010,000 shares of the Issuer. CUSIP No. 404160103 13D Page 7 of 9 The following is a list of transactions by the filing parties in the last 60 days: ACCT DATE SHARES TRADE AMT TYPE DGF 06/26/2002 10000 74900 open mkt purch DGF 06/27/2002 5000 36979 open mkt purch DGF 06/28/2002 8900 66851 open mkt purch DGF 07/05/2002 200 1485 open mkt purch DGF 07/08/2002 5000 36833 open mkt purch DGF 07/09/2002 100 712 open mkt purch DGF 07/10/2002 1000 6925 open mkt purch DGF 07/11/2002 1500 10537 open mkt purch DGF 07/12/2002 2200 14685 open mkt purch DGF 07/15/2002 10000 64541 open mkt purch DGF 07/23/2002 13300 75827 open mkt purch DGF 07/23/2002 4600 24265 open mkt purch RS acct 07/23/2002 150 855 open mkt purch RS acct 07/23/2002 100 527 open mkt purch Sub-advised acct 07/23/2002 1800 10262 open mkt purch Sub-advised acct 07/23/2002 700 3692 open mkt purch DGF 07/24/2002 8350 44851 open mkt purch DGF 07/24/2002 1500 7260 open mkt purch DGF 07/24/2002 8250 36547 open mkt purch RS acct 07/24/2002 3700 19874 open mkt purch RS acct 07/24/2002 700 3388 open mkt purch RS acct 07/24/2002 3600 15948 open mkt purch RS acct 07/24/2002 2300 12354 open mkt purch RS acct 07/24/2002 400 1936 open mkt purch RS acct 07/24/2002 2300 10189 open mkt purch RS acct 07/24/2002 600 3223 open mkt purch RS acct 07/24/2002 100 484 open mkt purch RS acct 07/24/2002 550 2436 open mkt purch Sub-advised acct 07/24/2002 3300 17726 open mkt purch Sub-advised acct 07/24/2002 600 2904 open mkt purch Sub-advised acct 07/24/2002 3100 13733 open mkt purch Sub-advised acct 07/24/2002 200 1074 open mkt purch Sub-advised acct 07/24/2002 100 484 open mkt purch Sub-advised acct 07/24/2002 200 886 open mkt purch Sub-advised acct 07/24/2002 7000 37600 open mkt purch Sub-advised acct 07/24/2002 1300 6292 open mkt purch Sub-advised acct 07/24/2002 6700 29681 open mkt purch Sub-advised acct 07/24/2002 1900 10206 open mkt purch Sub-advised acct 07/24/2002 300 1452 open mkt purch Sub-advised acct 07/24/2002 1800 7974 open mkt purch DGF 07/25/2002 7100 39107 open mkt purch RS acct 07/25/2002 3600 19829 open mkt purch Sub-advised acct 07/25/2002 4300 23684 open mkt purch DGF 07/26/2002 5800 31969 open mkt purch RS acct 07/26/2002 1700 9370 open mkt purch RS acct 07/26/2002 1800 9921 open mkt purch Sub-advised acct 07/26/2002 600 3307 open mkt purch DGF 07/29/2002 2900 16681 open mkt purch RS acct 07/29/2002 900 5177 open mkt purch RS acct 07/29/2002 900 5177 open mkt purch Sub-advised acct 07/29/2002 300 1726 open mkt purch DGF 07/30/2002 5900 31211 open mkt purch DGF 07/30/2002 5200 29588 open mkt purch RS acct 07/30/2002 1800 9522 open mkt purch RS acct 07/30/2002 1600 9104 open mkt purch RS acct 07/30/2002 2900 15341 open mkt purch RS acct 07/30/2002 2500 14225 open mkt purch Sep acct 07/30/2002 600 3174 open mkt purch Sep acct 07/30/2002 600 3414 open mkt purch Sub-advised acct 07/30/2002 500 2645 open mkt purch Sub-advised acct 07/30/2002 400 2276 open mkt purch Sub-advised acct 07/30/2002 800 4232 open mkt purch Sub-advised acct 07/30/2002 700 3983 open mkt purch DGF 08/05/2002 3700 19378 open mkt purch RS acct 08/05/2002 1100 5761 open mkt purch RS acct 08/05/2002 1800 9427 open mkt purch Sep acct 08/05/2002 400 2095 open mkt purch Sub-advised acct 08/05/2002 300 1571 open mkt purch Sub-advised acct 08/05/2002 400 2095 open mkt purch DGF 08/06/2002 2300 12132 open mkt purch RS acct 08/06/2002 700 3692 open mkt purch RS acct 08/06/2002 1200 6330 open mkt purch Sep acct 08/06/2002 300 1582 open mkt purch Sub-advised acct 08/06/2002 200 1055 open mkt purch Sub-advised acct 08/06/2002 300 1582 open mkt purch DGF 08/08/2002 2500 13765 open mkt purch RS acct 08/08/2002 700 3854 open mkt purch RS acct 08/08/2002 1100 6057 open mkt purch Sep acct 08/08/2002 200 1101 open mkt purch Sub-advised acct 08/08/2002 200 1101 open mkt purch Sub-advised acct 08/08/2002 300 1652 open mkt purch DGF 08/12/2002 4700 26577 open mkt purch RS acct 08/12/2002 400 2262 open mkt purch RS acct 08/12/2002 300 1696 open mkt purch DGF 08/13/2002 1300 7601 open mkt purch Sub-advised acct 08/13/2002 1200 7017 open mkt purch Sub-advised acct 08/13/2002 100 585 open mkt purch DGF 08/14/2002 1450 7846 open mkt purch Sub-advised acct 08/14/2002 1300 7035 open mkt purch Sub-advised acct 08/14/2002 150 812 open mkt purch DGF 08/15/2002 800 4060 open mkt purch Sub-advised acct 08/15/2002 100 507 open mkt purch DGF 08/16/2002 5000 25880 open mkt purch DGF 08/16/2002 1000 5264 open mkt purch DGF 08/19/2002 2450 12519 open mkt purch DGF 08/20/2002 3000 15390 open mkt purch DGF 08/22/2002 200 1005 open mkt purch DGF 08/23/2002 4800 23562 open mkt purch
CUSIP No. 404160103 13D Page 8 of 9 ITEM 6 Please refer to Item 5. ITEM 7 The following exhibits are filed herewith: Exhibit A - Joint Filing Agreement ITEM 8 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: August 26, 2002 RS INVESTMENT MANAGEMENT CO. LLC By: /s/ G. Randall Hecht G. Randall Hecht Chief Executive Officer RS INVESTMENT MANAGEMENT, L.P. By: /s/ G. Randall Hecht G. Randall Hecht Chief Executive Officer RS DIVERSIFIED GROWTH FUND By: RS Investment Management, L.P. Investment Adviser By: /s/ G. Randall Hecht G. Randall Hecht Chief Executive Officer CUSIP No. 404160103 13D Page 9 of 9 EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(f)(1). Each of them is responsible for the timely filing of the Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is accurate. Dated: August 26, 2002 RS INVESTMENT MANAGEMENT CO. LLC By: /s/ G. Randall Hecht G. Randall Hecht Chief Executive Officer RS INVESTMENT MANAGEMENT, L.P. By: /s/ G. Randall Hecht G. Randall Hecht Chief Executive Officer RS DIVERSIFIED GROWTH FUND By: RS Investment Management, L.P. Investment Adviser By: /s/ G. Randall Hecht G. Randall Hecht Chief Executive Officer -----END PRIVACY-ENHANCED MESSAGE-----