-----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, Kj4JJvZtUJbC/+FwFaa1Zn68vfDFeFW0pGgjeYYYXnPk4CKsbFY30RB+HEy4Hfks shG0OZYNVlAz1VPLnNY37w== 0001188675-02-000005.txt : 20021002 0001188675-02-000005.hdr.sgml : 20021002 20021001181521 ACCESSION NUMBER: 0001188675-02-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021001 FILED AS OF DATE: 20021002 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ALLSHOUSE THOMAS CENTRAL INDEX KEY: 0001188675 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: 3061 INDUSTRY DR CITY: LANCASTER STATE: PA ZIP: 17603 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HERLEY INDUSTRIES INC /NEW CENTRAL INDEX KEY: 0000047035 STANDARD INDUSTRIAL CLASSIFICATION: SEARCH, DETECTION, NAVIGATION, GUIDANCE, AERONAUTICAL SYS [3812] IRS NUMBER: 232413500 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-05411 FILM NUMBER: 02778967 BUSINESS ADDRESS: STREET 1: 10 INDUSTRY DR CITY: LANCASTER STATE: PA ZIP: 17603 BUSINESS PHONE: 7173972777 MAIL ADDRESS: STREET 1: 10 INDUSTRY DRIVE CITY: LANCASTER STATE: PA ZIP: 17603 FORMER COMPANY: FORMER CONFORMED NAME: HERLEY INDUSTRIES INC DATE OF NAME CHANGE: 19831103 FORMER COMPANY: FORMER CONFORMED NAME: HERLEY MICROWAVE SYSTEMS INC DATE OF NAME CHANGE: 19900510 4 1 taa1002.txt ALLSHOUSE 10-02 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. 1. Name and Address of Reporting Person(s) Allshouse, Thomas 3061 Industry Drive Lancaster, PA 17603-4025 2. Issuer Name and Ticker or Trading Symbol Herley Industries, Inc. (HRLY) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Day/Year 10/1/02 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) Director 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) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code V Amount D Price End of Month I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/08/02 G V 3,000 D D Direct Common Stock 10/01/02 M 10,000 A $4.0625 D Direct Common Stock 10/01/02 S 10,000 D 13,999 D Direct Table II (PART 1) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code V A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $4.0625 10/01/02 M 10,000 (1) (2) 04/04/07 (right to buy) Non-Qualified Stock Option $7.6253 12/10/03 (right to buy) Non-Qualified Stock Option $8.3753 03/12/11 (right to buy) Non-Qualified Stock Option $8.7691 12/10/03 (right to buy) Non-Qualified Stock Option $10.4587 05/18/10 (right to buy) Non-Qualified Stock Option $13.1000 12/03/11 (right to buy) Non-Qualified Stock Option $19.5200 05/21/12 (right to buy) Table II (PART 2) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Month - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option 10/01/02 Common Stock 10,000 5,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 7,500 7,500 D Direct (right to buy) Non-Qualified Stock Option Common Stock 15,000 15,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 7,500 7,500 D Direct (right to buy) Non-Qualified Stock Option Common Stock 15,000 15,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 10,000 10,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 7,500 7,500 D Direct (right to buy) Explanation of Responses: (1) This option was previously reported as covering 10,000 shares at an exercise price of 8.125 per share, but was adjusted to reflect a stock split on September 15, 1997. (2) The stock option becomes exercisable in two equal annual installments, 50% immediately, and 50% one year after the date of grant.
SIGNATURE OF REPORTING PERSON /S/ Allshouse, Thomas DATE 10/01/02 -----END PRIVACY-ENHANCED MESSAGE-----