-----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, S/JHZml+U0q86J1NZ/xatSRRsiqBMNKmjebhwV2g/aliKuNOx0ivbci/cWeKjMLJ /8JLaZcUtItDPbMf1Z1OPw== 0001133796-02-000222.txt : 20021217 0001133796-02-000222.hdr.sgml : 20021217 20021217162807 ACCESSION NUMBER: 0001133796-02-000222 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021216 FILED AS OF DATE: 20021217 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: MENDELSON VICTOR H CENTRAL INDEX KEY: 0001031082 RELATIONSHIP: DIRECTOR STATE OF INCORPORATION: FL FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 825 S. BRICKELL BAY DRIVE, SUITE 1643 CITY: MIAMI STATE: FL ZIP: 33131 BUSINESS PHONE: 3053741744 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HEICO CORP CENTRAL INDEX KEY: 0000046619 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 650341002 STATE OF INCORPORATION: FL FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04604 FILM NUMBER: 02860414 BUSINESS ADDRESS: STREET 1: 3000 TAFT ST CITY: HOLLYWOOD STATE: FL ZIP: 33021 BUSINESS PHONE: 3059876101 MAIL ADDRESS: STREET 1: 3000 TAFT STREET CITY: HOLLYWOOD STATE: FL ZIP: 33021 FORMER COMPANY: FORMER CONFORMED NAME: HEINICKE INSTRUMENTS CO DATE OF NAME CHANGE: 19860417 4 1 k21284form-4.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Mendelson Victor H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 825 Brickell Bay Drive, 16th Floor - -------------------------------------------------------------------------------- (Street) Miami Florida 33131 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Heico Corporation "HEI" and "HEI.A" ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ###-##-#### ________________________________________________________________________________ 4. Statement for Month/Year 12/16/2002 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [_] 10% Owner [X] Officer (give title below) [_] Other (specify below) Executive Vice President ________________________________________________________________________________ 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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 15,151(1) I 401(k) Plan - ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock 11,916(1) I 401(k) Plan - ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock 12/16/02 M 292 A $2.20 2,507 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 695 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 157,282 I By Mendelson Int'l Corp - ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock 119,713 I By Mendelson Int'l Corp - ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock 546 I (2) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 800 I (2) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 12/16/02 M 36,180 A $2.20 36,180 I By VHM Mgt. L.P. - ----------------------------------------------------------------------------------------------------------------------------------- ====================================================================================================================================
* If the Form is filed by more than one 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 Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $2.20 12/16/02 M 292 12/17/92 12/17/02 Class A 292 -- -- D Stock Option Common (Right to Buy) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $2.20 12/16/02 S 36,180 12/17/92 12/17/02 Common 36,180 (4) -- D Stock Option Stock (Right to Buy) - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $2.20 12/16/02 P 36,180 12/17/92 12/17/02 Common 36,180 (4) -- I By VHM Stock Option Stock Mgt. L.P. (Right to Buy) - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $2.20 12/16/02 M 36,180 12/17/92 12/17/02 Common 36,180 -- -- I By VHM Stock Option Stock Mgt. L.P. (Right to Buy) - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Information reported herein is based on HEICO Corporation 401(k) Plan quarterly statement as of 9/30/02 (latest provided to the Reporting Person). (2) Amount of Securities beneficially owned represents shares held by the Reporting Person as custodian for minor children. (3) In addition to these options, the Reporting Person owns directly options entitling the Reporting Person to purchase an aggregate of 425,115 shares of Common Stock and 200,729 shares of Class A Common Stock. These options become exercisable on various dates and have various expiration dates. (4) VHM Management Limited Partnership incurred an obligation to pay to the Reporting Person an annuity valued at $349,137 in exchange for the options. /s/ Victor H. Mendelson 12/16/02 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. 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 of 2 -----END PRIVACY-ENHANCED MESSAGE-----