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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(AMENDMENT NO. 4) (1)
Hickok Incorporated
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(Name of Issuer)
Class A Common Shares, $1.00 Par Value
Class B Common Shares, $1.00 Par Value
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(Title of Class of Securities)
428830 10 3
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(CUSIP Number)
Robert L. Bauman
Hickok Incorporated
10514 Dupont Avenue
Cleveland, Ohio 44108
(216) 541-8060
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 31, 1999
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(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1 (b)(3) or (4), check the following
box [ ].
Note. Six copies of this statement, including all exhibits, should be
filed with the Commission. See Rule 13d-1 (a) for other parties to whom copies
are to be sent.
(Continued on following pages)
(Page 1 of Pages)
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(1) 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 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).
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CUSIP NO. 428830103 13D PAGE ______ OF ______ PAGES
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
1. Robert L. Bauman
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
2. (b) [ ]
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3. SEC USE ONLY
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SOURCE OF FUNDS*
4. OO
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ]
5. PURSUANT TO ITEM 2(d) or 2(e)
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CITIZENSHIP OR PLACE OF ORGANIZATION
6. United States
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SOLE VOTING POWER
NUMBER OF SHARES 7. 61,888 Class A Shares 111,006 Class B Shares
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BENEFICIALLY SHARED VOTING POWER
OWNED BY 8. -0- -0-
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EACH SOLE DISPOSITIVE POWER
REPORTING 9. 61,888 Class A Shares 111,006 Class B Shares
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PERSON WITH SHARED DISPOSITIVE POWER
10. -0- -0-
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11. 61,888 Class A Shares 111,006 Class B Shares
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
12. [ ]
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13. 8.31% 24.41%
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TYPE OF REPORTING PERSON*
14. IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
ITEM 1. SECURITY AND ISSUER.
This statement relates to Class A Common Shares, $1.00 par value per
share (the "Class A Shares") and Class B Common Shares, $1.00 par value per
share (the "Class B Shares") of Hickok Incorporated, an Ohio corporation, whose
principal executive offices are located at 10514 Dupont Avenue, Cleveland, Ohio
44108.
ITEM 2. IDENTITY AND BACKGROUND.
The person filing this statement, Robert L. Bauman, is a natural person
whose business address is 10514 Dupont Avenue, Cleveland, Ohio 44108. Mr. Bauman
is President of Hickok Incorporated. Mr. Bauman is a United States citizen.
Mr. Bauman has not, during the last five years, been convicted in a
criminal proceeding of any crime or misdemeanor.
Mr. Bauman has not, during the last five years, been a party to a civil
proceeding in any judicial or administrative body which resulted in his being,
either now or in the past, subject to any judgment, decree or final order
enjoining future violations of, or prohibiting or mandating activities subject
to, federal or state securities laws or finding any violation with respect to
such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
On December 31, 1999, Mr. Bauman received immediately exercisable
options to purchase 5,000 Class A Shares at an exercise price of $5.00 per share
pursuant to the Hickok Incorporated Key Employees Stock Option Plan. No funds
were required for this transaction.
ITEM 4. PURPOSE OF TRANSACTION.
Mr. Bauman received the 5,000 options to purchase Class A Shares,
reported by this amendment, pursuant to Hickok Incorporated's typical practice
of awarding options to its key employees on December 31 of each year. Except as
set forth in responses hereto, Mr. Bauman has no plans or proposals relating to
any of the actions set forth in paragraphs (a) through (j) of Item 4 of Schedule
13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Mr. Bauman beneficially owns 111,006 Class B Shares as of the date of
this statement, representing 24.41% of the 454,866 of the issued and outstanding
Class B Shares as of May 15, 2000.
Mr. Bauman beneficially owns 61,888 Class A Shares as of the date of
this statement, representing 8.31% of the 744,884 Class A Shares issued and
outstanding as of May 15, 2000. The number of Class A Shares noted as owned by
Mr. Bauman above excludes 3,150 Class A Shares registered in the name of Mr.
Bauman's children, with respect to which Mr. Bauman disclaims any beneficial
interest. Such number includes an aggregate of 19,500 Class A Shares which may
be acquired by him upon the exercise of immediately exercisable options.
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Other than the exercise of options to purchase 10,000 Class A Shares on
July 5, 2000, at an exercise price of $2.925, Mr. Bauman has not had any
transactions in the Class A Shares or the Class B Shares during the past sixty
days.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
Mr. Bauman has not entered into any written contract with respect to
either the Class A Shares or Class B Shares with any person other than as
described herein. However, Mr. Bauman has an understanding with a group of Class
B Shareholders (4 persons including Mr. Bauman), relating to a right of first
refusal on the Class B Shares held by each of these individuals.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Not Applicable
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SIGNATURE
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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.
July 26, 2000
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Dated
/s/ Robert L. Bauman
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Signature
