4//SEC Filing
Rosen Steven 4
Accession 0000899243-19-000251
CIK 0000047307other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 3:21 PM ET
Size
15.0 KB
Accession
0000899243-19-000251
Insider Transaction Report
Form 4
HICKOK INCHICKA
Rosen Steven
Director10% Owner
Transactions
- Disposition to Issuer
Warrant to Purchase Class A Common Stock
2017-12-30−100,000→ 252,367 total(indirect: See Footnote)Exercise: $2.50Exp: 2018-12-30→ Class A Common Stock (100,000 underlying) - Award
Warrant to Purchase Class A Common Stock
2018-12-30+100,000→ 426,489 total(indirect: See Footnote)Exercise: $2.50Exp: 2019-12-30→ Class A Common Stock (100,000 underlying) - Award
Convertible Loan Agreement
2018-12-30+326,489→ 426,489 total(indirect: See Footnote)Exercise: $1.43Exp: 2019-12-30→ Class A Common Stock (326,489 underlying) - Disposition to Issuer
Convertible Loan Agreement
2017-12-30−252,367→ 100,000 total(indirect: See Footnote)Exercise: $1.85Exp: 2018-12-30→ Class A Common Stock (252,367 underlying)
Holdings
- 1,000
Class A Common Stock Option
Exercise: $2.92From: 2012-03-08Exp: 2022-03-08→ Class A Common Stock (1,000 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]Does not include the option to purchase up to 75,000 shares of Class B Common Stock of the Issuer in substitution of an equal number of shares of Class A Common Stock since it is subject to shareholder approval.
Documents
Issuer
HICKOK INC
CIK 0000047307
Entity typeother
Related Parties
1- filerCIK 0001545202
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 3:21 PM ET
- Size
- 15.0 KB