0001144204-14-067266.txt : 20141112 0001144204-14-067266.hdr.sgml : 20141111 20141112170313 ACCESSION NUMBER: 0001144204-14-067266 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20120820 FILED AS OF DATE: 20141112 DATE AS OF CHANGE: 20141112 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: Rosen Steven CENTRAL INDEX KEY: 0001545202 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00147 FILM NUMBER: 141214915 MAIL ADDRESS: STREET 1: 25101 CHAGRIN BOULEVARD SUITE 350 CITY: BEACHWOOD STATE: OH ZIP: 44122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roundball LLC CENTRAL INDEX KEY: 0001539086 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00147 FILM NUMBER: 141214916 BUSINESS ADDRESS: STREET 1: 1660 WEST 2ND STREET SUITE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216-583-7340 MAIL ADDRESS: STREET 1: 1660 WEST 2ND STREET SUITE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 4 1 v394035_form4.xml FORM 4 X0306 4 2012-08-20 0 0000047307 HICKOK INC HICKA 0001545202 Rosen Steven 25101 CHAGRIN BOULEVARD SUITE 350 BEACHWOOD OH 44122 1 0 1 0 0001539086 Roundball LLC 1660 WEST 2ND STREET SUITE 1100 CLEVELAND OH 44113 0 0 1 0 Class A Common Stock 2012-08-20 2012-08-20 4 M 0 126185 1.85 A 320918 I See Footnotes Convertible Loan Agreement 1.85 2012-08-20 2012-08-20 4 C 0 126185 D 2012-12-30 2014-12-30 Class A Common Stock 378552 252367 I See Footnotes This Form 4 is being filed by the undersigned as well as the entity listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). The ownership of these securities is directly held by Roundball, and ownership is indirectly attributable to Steven Rosen under the SEC rules. Mr. Rosen has a pecuniary interest in 14.29% of the assets held by Seven Investors, LLC, and ownership attributed through immediate family members' interests in 75% of the LJNP Trust. Seven Investors, LLC, and LJNP Trust each own 25% of Roundball, but such entities do not maintain investment control of the investment in the Issuer by Roundball. In accordance with instruction 4(b)(v) to Form 4, the entire amount of the Issuer's securities held by Roundball is reported herein. For purposes of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. The company had issued a convertible note to Roundball, LLC, pursuant to the terms of the Convertible Loan Agreement, for $466,879.87, and Roundball has the right to cause the Issuer to borrow an additional $466,879.88. Roundball has the right to convert outstanding debt under the Convertible Loan Agreement into up to 504,735 shares of common stock at conversion price of $1.85 per share. Following this transaction, Roundball had the right to convert outstanding debt into up to 251,768 shares of common stock. This transaction involved conversion of $233,442 outstanding debt into 126,185 shares of common stock. This is being filed to report the holdings of Roundball, LLC ("Roundball") and, indirectly, Steven Rosen acquired upon conversion of previously reported derivative securities, the transaction was previously reported by Hickok, Inc. (the "Issuer") in connection with its proxy statement and periodic filings and by Roundball, LLC in connection with its Form SC13D/A. Exhibit: Joint Filer Information /s/ Steven Rosen 2014-11-12 /s/ Frederick Widen, Manager, Roundball, LLC 2014-11-12 EX-99.1 2 v394035_ex99-1.htm EXHIBIT 99.1

Exhibit 99.1

 

Joint Filer Information

 

Names: Roundball, LLC
   
Address: 25101 Chagrin Boulevard, Suite 350, Beachwood, Ohio 44122
Designated Filer: Steven Rosen
   
Issuer and Ticker Symbol: Hickok Inc. [HICKA]
   
Date of Event Requiring Statement: August 20, 2012

 

The undersigned, Roundball, LLC, is jointly filing the attached Initial Statement of Beneficial Ownership on Form 4 with Steven Rosen with respect to the beneficial ownership of securities of Hickok Inc.

Signatures:

 

ROUNDBALL, LLC  
     
     
     
By:    /s/ Frederick Widen  
Name:   Frederick Widen  
Title:    Manager, Roundball, LLC