0000899243-18-000832.txt : 20180109 0000899243-18-000832.hdr.sgml : 20180109 20180109173232 ACCESSION NUMBER: 0000899243-18-000832 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180105 FILED AS OF DATE: 20180109 DATE AS OF CHANGE: 20180109 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: 18519858 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-01-05 0 0000047307 HICKOK INC HICKA 0001132148 CRAWFORD MATTHEW V 10514 DUPONT AVE. CLEVELAND OH 44108 1 0 1 0 Class A Common Stock 1232168 I See Footnote Class A Common Stock 2018-01-05 4 A 0 3000 0.00 A 6000 D Warrant to Purchase Class A Common Stock 2.50 2016-12-20 4 D 0 100000 D 2017-12-30 Class A Common Stock 100000 252367 I See Footnote Warrant to Purchase Class A Common Stock 2.50 2016-12-20 4 A 0 100000 A 2018-12-30 Class A Common Stock 100000 426489 I See Footnote Convertible Loan Agreement 1.85 2016-12-20 4 D 0 252367 D 2017-12-30 Class A Common Stock 252367 100000 I See Footnote Convertible Loan Agreement 1.85 2016-12-20 4 A 0 326489 A 2018-12-30 Class A Common Stock 326489 426489 I See Footnote The two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a replacement warrant. The two reported transactions involved an amendment of an outstanding convertible loan agreement, resulting in the deemed cancellation of the "old" convertible loan agreement and the entry into a replacement convertible loan agreement. The securities reported herein are owned directly by Roundball LLC, an Ohio limited liability company. For purposes of the Securities Exchange Act of 1934, the Reporting Person disclaims beneficial ownership of any securities, except of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Includes 320,918 shares that are owned directly by Roundball LLC and 911,250 shares that are owned directly by First Francis Company Inc. The reporting person disclaims beneficial ownership of those shares except to the extent of his pecuniary interest therein. /s/ Fred Widen, Attorney-in-fact 2018-01-09