Sec Form 4/A Filing - CRAWFORD MATTHEW V @ HICKOK INC - 2014-12-31

Insider filing report for Changes in Beneficial Ownership
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FORM 4/A
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES 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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
CRAWFORD MATTHEW V
2. Issuer Name and Ticker or Trading Symbol
HICKOK INC [ HICKA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
10514 DUPONT AVE.
3. Date of Earliest Transaction (MM/DD/YY)
12/31/2014
(Street)
CLEVELAND, OH44108
4. If Amendment, Date Original Filed (MM/DD/YY)
01/05/2015
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Convertible Loan Agreement $ 1.85 12/31/2014 12/31/2014 A 252,367 12/31/2014 12/30/2015 Class B Common Stock ( 1 ) ( 2 ) ( 3 ) ( 5 ) 252,367 ( 4 ) ( 4 ) 352,367 ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 6 ) I See Footnote ( 1 ) ( 2 ) ( 3 ) ( 6 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CRAWFORD MATTHEW V
10514 DUPONT AVE.
CLEVELAND, OH44108
X X
Three Bears Trust
1660 WEST 2ND STREET, SUITE 1100
CLEVELAND, OH44122
X X
Signatures
/s/ Molly Z. Brown, poa for Matthew V. Crawford 01/12/2015
Signature of Reporting Person Date
/s/ Molly Z. Brown, poa for Matthew V. Crawford, trustee 01/12/2015
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This Form is being filed by the udersigned as well as the entity listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons") to correct inadvertent error in the reporting of the original filing.
( 2 )The ownership of the Hickok, Inc. (the "Issuer") securities is directly held by Roundball, LLC ("Roundball") (reporting separately). Three Bears Trust (the "trust") owns 50% of Roundball and, therefore, such ownership of the Issuer securities are indirectly attributable to the trust and Mr. Crawford. Mr. Crawford is the trustee of the trust; the beneficiaries of the trust are his three minor children. Under the operating agreement between the investors of Roundball, the trust has the right to consent to major decisions and, therefore, Mr. Crawford, as trustee, shares investment control of Roundball. Consistent with instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by Roundball is reported.
( 3 )For purposes of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
( 4 )Pursuant to the Convertible Loan Agreement, as amended, Roundball has the right to convert all amounts outstanding into the Issuer's Class B Common Stock (including standard anti-dilution provisions). The amount that could be borrowed by the Issuer is up to approximately $466,879.88.
( 5 )The Issuer's articles of incorporation require it to seek approval from its shareholders for issuance of any Class B Common Stock. The Borrower agrees to include such a proposal in its 2015 Annual Meeting proxy materials.
( 6 )Included in the total are 100,000 shares of Class A Common Stock held by Roundball.

Remarks:
Exhibit: Joint Filer Information

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