|
|
|
|
|
|
|
|
|
|
|
|
|
FORM 4
/ / CHECK THIS BOX IF NO LONGER OMB APPROVAL
SUBJECT TO SECTION 16. FORM 4 -------------------
OF FORM 5 OBLIGATIONS MAY OMB Number 3235-0287
CONTINUE. SEE INSTRUCTION 1(B). Expires: September 30, 1998
Estimated average burden
hours per response.....0.5
U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act
of 1934, Section 17(a) of the Public Utility Holding
Company Act of 1935 or Section 30(f) of the
Investment Company Act of 1940
<TABLE>
<CAPTION>
<S> <C> <C>
- --------------------------------------------- ------------------------------------------------------------
1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol
HEI, Inc. (HEII)
------------------------------------------------------------
Fant Anthony J. 3. IRS or Social 4. Statement for
- --------------------------------------------- Security Number of Month/Year
(Last) (First) (Middle) Reporting Person (Voluntary) February 1998
2154 Highland Avenue ------------------------
- --------------------------------------------- 5. If Amendment,
(Street) Date of Original
(Month/Year)
Birmingham AL 35205
- ---------------------------------------------
(City) (State) (Zip)
(table continued)
<S> <C>
- --------------------------------------------- -----------------------------------------------------------
1. Name and Address of Reporting Person 6. Relationship of Reporting Person to Issuer
(Check all applicable)
Fant Anthony J. ___ Director X 10% Owner
- --------------------------------------------- ---
(Last) (First) (Middle) ___ Officer (give ___ Other (specify below)
title below)
2154 Highland Avenue -----------------------------------------------------------
- --------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line)
(Street)
X Form filed by One Reporting Person
Birmingham AL 35205 ---
- --------------------------------------------- ___ Form filed by More than One Reporting Person
(City) (State) (Zip)
</TABLE>
<TABLE>
<CAPTION>
TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
1. Title of Security 2. Transaction Date (Month/ 3. Transaction Code (Instr. 8)
(Instr. 3) Day/Year)
- --------------------------- --------------------------- ------------------------------------
Code V
----------------- -----------------
<S> <C> <C> <C>
Common Stock $.05 par value 2/13/98 P
Common Stock $.05 par value 2/13/98 P
Common Stock $.05 par value 2/13/98 P
Common Stock $.05 par value 2/13/98 P
Common Stock $.05 par value 2/13/98 P
Common Stock $.05 par value 2/13/98 P
Common Stock $.05 par value 2/17/98 P
Common Stock $.05 par value 2/17/98 P
Common Stock $.05 par value 2/18/98 P
Common Stock $.05 par value 2/18/98 P
Common Stock $.05 par value 2/20/98 P
Common Stock $.05 par value _______ ____
(table continued)
1. Title of Security 4. Securities Acquired (A) or 5. Amount of 6. Ownership 7. Nature of
(Instr. 3) Disposed of (D) (Instr. 3, 4 Securities Form: Indirect
and 5) Beneficially Direct Beneficial
Owned at End of (D) or Ownership
Month (Instr. 3 Indirect (Instr. 4)
and 4) (I)
(Instr. 4)
------------------------------
Amount (A) or Price
(D)
- --------------------------- -------- -------- --------- ------------------- -------------- --------------
<S> <C> <C> <C> <C> <C> <C>
Common Stock $.05 par value 2,000 A $6.6250
Common Stock $.05 par value 2,000 A $6.5000
Common Stock $.05 par value 10,000 A $6.5625
Common Stock $.05 par value 10,000 A $6.5625
Common Stock $.05 par value 25,000 A $7.1250
Common Stock $.05 par value 5,800 A $7.1250
Common Stock $.05 par value 30,000 A $7.4375
Common Stock $.05 par value 30,000 A $7.5625
Common Stock $.05 par value 50,000 A $7.4375
Common Stock $.05 par value 65,000 A $7.5000
Common Stock $.05 par value 15,000 A $6.5000 714,900 D
Common Stock $.05 par value - - - 10,000 I By Corporation (1)
</TABLE>
*If the form is filed by more than reporting person, see Instruction 4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
TABLE II -- DERIVATIVE SECURITIES ACQUIRED,
DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
<TABLE>
<CAPTION>
1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transaction 5. Number of 6. Date Exer-
(Instr. 3) sion or action Code Derivative cisable and Ex-
Exercise Date (Instr. 8) Securities piration Date
Price of Acquired (A) or (Month/Day/
Deriv- (Month/ Disposed of (D) Year)
ative Day/ (Instr. 3,4, and 5)
Security Year)
----------------- ---------------------- --------------------
Code V (A) (D) Date Expira-
Exer- tion
cisable Date
- -------------------------------- ------------ ------------ ------- ------- -------- ---------- --------- ---------
<S> <C> <C> <C> <C> <C> <C> <C> <C>
(table continued)
1. Title of Derivative Security 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na-
(Instr. 3) lying Securities of of ship ture
(Instr. 3 and 4) Deriv- Deriv- Form of In-
ative ative of direct
----------------------------- Secur- Secur- De- Bene-
ity ities rivative ficial
(Instr. Bene- Secu- Own-
Amount or 5) ficially rity: ership
Title Number of Owned Direct (Instr. 4)
Shares at End (D) or
of Indi-
Month rect (I)
(Instr. 4) (Instr. 4)
- -------------------------------- ------------- -------------- ------------- ------------ -------------- -------------
<S> <C> <C> <C> <C> <C> <C>
</TABLE>
Explanation of Responses:
(1) SHARES HELD BY FANT INDUSTRIES INC. OF WHICH REPORTING PERSON IS SOLE
STOCKHOLDER, DIRECTOR AND PRESIDENT.
**Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. /s/ Anthony J. Fant March 9, 1998
________________________________ ---------------
**Signature of Reporting Person Date
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient,
see Instruction 6 for procedure. Page 2
SEC 1474 (8/92)
|
|