0000899243-16-024442.txt : 20160705 0000899243-16-024442.hdr.sgml : 20160705 20160705191142 ACCESSION NUMBER: 0000899243-16-024442 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160701 FILED AS OF DATE: 20160705 DATE AS OF CHANGE: 20160705 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HICKOK INC CENTRAL INDEX KEY: 0000047307 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 340288470 STATE OF INCORPORATION: OH FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 10514 DUPONT AVE CITY: CLEVELAND STATE: OH ZIP: 44108 BUSINESS PHONE: 2165418060 MAIL ADDRESS: STREET 1: 10514 DUPONT AVE CITY: CLEVELAND STATE: OH ZIP: 44108 FORMER COMPANY: FORMER CONFORMED NAME: HICKOK ELECTRICAL INSTRUMENT CO DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRAWFORD MATTHEW V CENTRAL INDEX KEY: 0001132148 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00147 FILM NUMBER: 161752150 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-07-01 0 0000047307 HICKOK INC HICKA 0001132148 CRAWFORD MATTHEW V 10514 DUPONT AVENUE CLEVELAND OH 44108 1 0 1 0 Class A Common Shares 2016-07-01 2016-07-01 4 J 0 911250 A 1232168 I By First Francis Company Inc. and Roundball LLC Class B Common Shares 2016-07-01 2016-07-01 4 J 0 303750 A 418750 I By First Francis Company Inc. and Roundball LLC These shares were acquired by First Francis Company Inc. through the merger of its wholly-owned subsidiary, Federal Hose Manufacturing LLC, into a wholly owned subsidiary of the Issuer. The reporting person owns 51% of First Francis Company Inc. The reporting person disclaims beneficial ownership of the shares held by First Francis Company Inc. except to the extent of his pecuniary interest therein. In addition to the issuance of 911,250 shares of the Issuer's Class A Common Stock and 303,750 shares of the Issuer's Class B Common Stock, the Issuer also issued two promissory notes in the aggregate principal amount of $4,768,662 to First Francis Company Inc. in consideration of the merger of the subsidiary of First Francis Company Inc. into the subsidiary of the Issuer. On the effective date of the merger, the closing price of Hickok's Class A Common Shares was $1.55 per share. There is no trading market for the Issuer's Class B Common Shares. Includes 320,918 shares that are owned directly by Roundball LLC. The reporting person disclaims beneficial ownership of the shares held by Roundball LLC except to the extent of his pecuniary interest therein. Includes 115,000 shares that are owned directly by Roundball LLC. The reporting person disclaims beneficial ownership of the shares held by Roundball LLC except to the extent of his pecuniary interest therein. /s/ Fred Widen, Attorney-in -fact 2016-07-05