Annual Statement of Changes in Beneficial Ownership (5)
November 28 2022 - 11:20AM
Edgar (US Regulatory)
FORM 5
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
[ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number: 3235-0362
Estimated average burden
hours per response... 1.0 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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|
1. Name
and Address of Reporting Person *
HENRIQUES ADOLFO |
2. Issuer Name and Ticker or Trading
SymbolHEICO CORP [HEI, HEI.A] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(Last)
(First)
(Middle)
3000 TAFT STREET |
3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
10/31/2022
|
(Street)
HOLLYWOOD, FL 33021
(City)
(State)
(Zip)
|
4. If Amendment, Date Original
Filed(MM/DD/YYYY)
|
6. Individual or Joint/Group
Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership
(Instr. 4) |
Amount |
(A) or (D) |
Price |
Class A Common Stock |
11/12/2021 |
|
G |
7126 |
D |
$0 |
0 |
D |
|
Class A Common Stock |
|
|
|
|
|
|
23393 |
I |
By 409A Plan (1) |
Common Stock |
|
|
|
|
|
|
3239 |
I |
By 409A Plan (1) |
Class A Common Stock |
11/12/2021 |
|
G |
7126 |
A |
$0 |
7126 |
I |
By Trust (2) |
Common Stock |
|
|
|
|
|
|
63 |
I |
By Trust (3) |
Table II - Derivative Securities Acquired, Disposed of, or
Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of Derivative Securities Beneficially
Owned at End of Issuer's Fiscal Year
(Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I)
(Instr. 4) |
11. Nature of Indirect Beneficial Ownership
(Instr. 4) |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Represents shares held for
the Reporting Person by the HEICO Corporation Leadership
Compensation Plan (409A Plan). |
(2) |
On November 12, 2021, the
Reporting Person transferred 7,126 shares HEICO Class A Common
Stock to The Adolfo and Elizabeth Henriques 1998 Trust (the
"Trust") of which the Reporting Person is trustee. The Reporting
Person and members of his immediate family are the sole
beneficiaries of the Trust. |
(3) |
On November 12, 2021, the
Reporting Person transferred 63 shares HEICO Common Stock to The
Adolfo and Elizabeth Henriques 1998 Trust (the "Trust") of which
the Reporting Person is trustee. The Reporting Person and members
of his immediate family are the sole beneficiaries of the Trust.
These shares had been inadvertently omitted from the Reporting
Person's prior statements of changes in beneficial
ownership. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
HENRIQUES ADOLFO
3000 TAFT STREET
HOLLYWOOD, FL 33021 |
X |
|
|
|
Signatures
|
/s/ Adolfo Henriques |
|
11/28/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. 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 is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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