-----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, GE+AnGaSd9Mk2zR0GxXXY3DwAaAWHJKZHewPj6cO41LxBSXNtHF/I+lb+gT8Z0Wo KYDoGqbh+eeHUymqmOLxRA== 0000937725-97-000002.txt : 19970222 0000937725-97-000002.hdr.sgml : 19970222 ACCESSION NUMBER: 0000937725-97-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NICHOLS RESEARCH CORP /AL/ CENTRAL INDEX KEY: 0000806388 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING SERVICES [8711] IRS NUMBER: 630713665 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-38949 FILM NUMBER: 97535446 BUSINESS ADDRESS: STREET 1: 4040 MEMORIAL PKWY SOUTH CITY: HUNTSVILLE STATE: AL ZIP: 35802 BUSINESS PHONE: 2058831140 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NICHOLS ROY J CENTRAL INDEX KEY: 0000937725 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 4040 MEMORIAL PARKWAY SO CITY: HUNTSVILLE STATE: AL ZIP: 35802-1326 BUSINESS PHONE: 2058831140 MAIL ADDRESS: STREET 1: 4040 MEMORIAL PKWY SO CITY: HUNTSVILLE STATE: AL ZIP: 35802-1326 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 9 )* NICHOLS RESEARCH CORPORATION (Name of Issuer) COMMON STOCK $.01 PAR VALUE (Title of Class of Securities) 653818 10 4 (CUSIP Number) ____________________ *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP NO. 653818 10 4 1) Names of Reporting Persons: ROY J. NICHOLS S.S. or I.R.S. Identification Nos. of Above Persons: ###-##-#### 2) Check the Appropriate Box if a Member of a Group (See Instructions). (a) (b) X 3) SEC Use Only 4) Citizenship or Place of Organization U.S.A. _______________________________________________________________________________ Number of Shares Beneficially Owned (5) Sole Voting Power 0 By Each Reporting Person With __________________________________________ (6) Shared Voting Power 453,098{1} __________________________________________ (7) Sole Dispositive Power 0 (8) Shared Dispositive Power 453,098{1} __________________________________________ 9) Aggregate Amount Beneficially Owned by Each Reporting Person 453,098 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) X 11) Percent of Class Represented by Amount in Row (9) ______ 3.9% 12) Type of Reporting Person (See Instructions) IN _______________________________________________________________________________ **FOOTNOTES** {1}364,763 of the shares are held in a Revocable Trust for Roy J. Nichols and his spouse, Susan Mary Nichols. Reporting person and his spouse are Trustees of that Revocable Trust. The Roy J. Nichols and Susan Mary Nichols Charitable Remainder Unitrust owns the remaining 88,335 shares. Roy J. Nichols is the sole Trustee of that charitable trust. ITEM 1(a). Name of Issuer: Nichols Research Corporation. ITEM 1(b). Address of Issuer's Principal Executive Offices: 4040 Memorial Parkway, South, Huntsville, Alabama 35802-1326. ITEM 2(a). Name of Person Filing: Roy J. Nichols ITEM 2(b). Address of Principal Business Office or, if None, Residence: 4040 Memorial Parkway, South, Huntsville, Alabama 35802-1326 ITEM 2(c). Citizenship: United States of America ITEM 2(d). Title of Class of Securities: Common stock, par value $.01 per share ITEM 2(e). CUSIP Number: 653818 10 4 ITEM 3. Not applicable. ITEM 4. Ownership on December 31, 1996: (a) Amount beneficially owned: 453,098 shares (which includes 0 shares which the person filing has the right to acquire upon exercise of options.) (b) Percent of class: 3.9 percent (c) Number of shares as to which the person filing has: (i) sole power to vote or to direct the vote is 88,335; (ii) shared power to vote or to direct the vote is 364,763; (iii) sole power to dispose or to direct the disposition of is 88,335; and (iv) shared power to dispose or to direct the disposition of is 364,763. ITEM 5. Ownership of Five Percent or Less of a Class: If the statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ]. ITEM 6. Not applicable. ITEM 7: Not applicable. ITEM 8: Not applicable. ITEM 9: Not applicable. ITEM 10: Not applicable. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 14, 1997 Signature: ROY J. NICHOLS, DIRECTOR AND SENIOR VICE PRESIDENT Name/Title By: Elizabeth W. Abel - ------------------------------------ Elizabeth W. Abel, Attorney-in-Fact for Roy J. Nichols ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (See 18 U.S.C. 1001). STATE OF ALABAMA COUNTY OF MADISON POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints each of JOHN R. WYNN and ELIZABETH W. ABEL, signing singly, the undersigned's true and lawful attorney-in-fact to: 1. execute for and on behalf of the undersigned, individually and/or in the undersigned's capacity (a) as an officer and/or director of Nichols Research Company (the "Company"), (b) as Co-Trustee of the Roy J. Nichols and Susan Mary Nichols Revocable Trust (the "Revocable Trust"), and/or (c) as Trustee of the Roy J. Nichols and Susan Mary Nichols Charitable Remainder Unitrust (the "Charitable Trust"), Schedule 13G in accordance with Section 13(g) of the Securities Exchange Act of 1934 and the rules thereunder; and 2. do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Schedule 13G and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and 3. take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, and in the best interest of, or legally required by, the undersigned. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 13(g) of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Schedule 13G with respect to the undersigned's holdings of securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 14th day of February, 1997. Roy J. Nichols --------------------------- Roy J. Nichols STATE OF ALABAMA COUNTY OF MADISON I, the undersigned, a Notary Public in and for the State and County aforesaid, hereby certify that ROY J. NICHOLS, whose name is signed to the foregoing Power of Attorney, and who is known to me, acknowledged before me on this day that, being informed of the contents of the Power of Attorney, he executed the same voluntarily on the day the same bears date. Given under my hand and official seal on this the 14th day of February, 1997. Patty R. Baugher ------------------------------------ Notary Public My commission expires: August 2, 1998 -----END PRIVACY-ENHANCED MESSAGE-----