-----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, JoO9n12jDjMvbFC9LUmjESIB7uVjMvKfKzBx69BaO7kCsv5CDH+u/Odumi2Q6g+e Pw33wH2knjqSzl0M1GcYsw== 0001133796-03-000048.txt : 20030328 0001133796-03-000048.hdr.sgml : 20030328 20030328172951 ACCESSION NUMBER: 0001133796-03-000048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030328 FILED AS OF DATE: 20030328 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: MENDELSON LAURANS A CENTRAL INDEX KEY: 0000905847 RELATIONSHIP: DIRECTOR 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: 03626479 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 k30348form-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 Laurans A. - -------------------------------------------------------------------------------- (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 03/28/2003 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [X] Director [X] 10% Owner [X] Officer (give title below) [_] Other (specify below) CEO, Chairman of the Board and 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 03/28/03(1) T 131(1) D $10.28(1) 24,147(1) I 401(k) Plan - ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock 03/28/03(1) T 39(1) D $6.60(1) 19,277(1) I 401(k) Plan - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 602,384 I By LAM L.P. - ----------------------------------------------------------------------------------------------------------------------------------- Class A Common Stock 238,190 I By LAM L.P. - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 279,058 I By LAM Alpha L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 71,147 I By LAM Alpha L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 45,441 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 14,408 I (2) - ------------------------------------------------------------------------------------------------------------------------------------ Class A Common Stock 56,275 D ====================================================================================================================================
* 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) Page 1 of 2 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 $13.33 3/16/03 J 25,000 12/17/99 12/17/09 Common 25,000 -- (4) D Option (Right to Buy) (3) (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $15.55 3/16/03 J 110,000 6/11/01 06/11/11 Common 110,000 -- (4) D Option (Right to Buy) (3) (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $12.78 3/16/03 J 5,000 6/17/02 06/17/12 Common 5,000 -- (4) D Option (Right to Buy) (3) (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Employee Stock $12.90 3/16/03 J 95,000 6/17/02 06/17/12 Common 95,000 -- (4) D Option (Right to Buy) (3) (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Class A Employee Stock $13.33 3/16/03 J 5,250 12/17/99 12/17/09 Common 5,250 -- (4) D Option (Right to Buy) (3) (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Class A Employee Stock $15.55 3/16/03 J 11,000 6/11/01 06/11/01 Common 11,000 -- (4) D Option (Right to Buy) (3) (3) Stock - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) These shares were forfeited from the Reporting Person's account in the HEICO Corporation 401(k) Plan (the Plan) as a result of the Plan's annual ADP/ACP tests of voluntary and matching contribution limits determined pursuant to ERISA requirements and as reported to the Reporting Person on his participant's statement received from the Plan on March 28, 2003. (2) Securities are held by the Laurans A. and Arlene H. Mendelson Charitable Foundation, Inc., a non-profit Charitable Corporation, the holdings of which are attributable to the Reporting Person. The Reporting Person disclaims beneficial ownership of all securities held by the Charitable Foundation. (3) The Derivative Securities represent Employee Stock Options voluntarily cancelled by the Reporting Person. (4) In addition to these options, the Reporting Person owns directly options entitling the Reporting Person to purchase an aggregate of 270,970 shares of Common Stock and 220,844 shares of Class A Common Stock. These options become exercisable on various dates and have various expiration dates. /s/ Laurans A. Mendelson 03/28/03 - --------------------------------------------- ----------------------- **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-----