-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C/OJ+GBIRg05wbmCOQur3yphcPcADXhgnwl556//3wfoDZAlSNrLjmmgNWIF2lze kHGzEArMht6V31A2TQTBCQ== 0000950117-96-001585.txt : 19961219 0000950117-96-001585.hdr.sgml : 19961219 ACCESSION NUMBER: 0000950117-96-001585 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961218 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NAI TECHNOLOGIES INC CENTRAL INDEX KEY: 0000072575 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER TERMINALS [3575] IRS NUMBER: 111798773 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-03704 FILM NUMBER: 96682692 BUSINESS ADDRESS: STREET 1: 2405 TRADE CENTRE AVE CITY: LONGMONT STATE: CO ZIP: 80503 BUSINESS PHONE: 3037765674 MAIL ADDRESS: STREET 1: 1000 WOODBURY ROAD STE 412 STREET 2: 1000 WOODBURY ROAD STE 412 CITY: WOODBURY STATE: NY ZIP: 11797-2530 FORMER COMPANY: FORMER CONFORMED NAME: NORTH ATLANTIC INDUSTRIES INC DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: HOLMES CHARLES S CENTRAL INDEX KEY: 0000901020 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PO BOX 2850 CITY: SOUTH HAMPTON STATE: NY ZIP: 11969 4 1 CHARLES S. HOLMES FORM 4 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)f of the Investment Company Act of 1940 FORM 4 [ ] CHECK THIS BOX IF NO LONGER SUBJECT TO SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE INSTRUCTION 1(b). (Print or Type Responses) ------------------------------- OMB APPROVAL OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response.....0.5 ------------------------------- 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol Holmes Charles S. NAI Technologies, Inc. (NATL) (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for Number of Reporting Month/Year 117 Whites Lane Person (Voluntary) December 1996 (Street) 5. If Amendment, Date of Original Southampton, NY 11968 (Month/Year) (City) (State) (Zip)
6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director X 10% Owner - ------ ------- - ------ Officer (give ------- Other (specify title below) below) -------------------- 7. Individual or Joint/Group filing (Check Applicable Line) ----- 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 2. Trans- 3. Trans- 4. Securities Acquired (A) (Instr. 3) action action or Disposed of (D) Date Code (Instr. 3, 4 and 5) (Instr. 8) (Month/ --------------------------------------------------------------- Day/ Year) (A) or Code V Amount (D) Price - -------------------------------------------------------------------------------------------------------------------------- Common Stock, par value $.10 per share 12/09/96 P 30,000 A $3.165 12/10/96 P 20,000 A $3.165
TABLE I--NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ---------------------------------------------------------------------------------------------------------- 5. Amount of 6. Owner- 7. Nature of Securities ship Indirect Beneficially Form: Beneficial Owned at Direct Owner- End of Month (D) or ship Indirect (Instr. 3 and 4) (I) (Instr. 4) (Instr. 4) - ---------------------------------------------------------------------------------------------------------- By Common Stock, par value $.10 per share 100,000 I Friend 1,000,000 D - ----------------------------------------------------------------------------------------------------------
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). (Over) SEC 1474 (7-96) FORM 4 (continued)
TABLE II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Trans- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action action ative Securities Ac- cisable and Exercise Date Code quired (A) or Dis- Expiration Price of (Instr. 8) posed of (D) Date Deri- (Month/ (Instr. 3, 4, and 5) (Month/Day/ vative Day/ Year) Security Year) ------------------- Date Expira- Exer- tion ----------------------------------------- cisable Date Code V (A) (D) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock Warrants Immed- Jan. (right to buy) $3.00 iate 15/01 Common Stock Warrants Immed- Jan. (right to buy) $2.50 iate 15/01 Common Stock Options Aug. Aug. (right to buy) $3.44 7/97 7/06
TABLE II--DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ----------------------------------------------------------------------------------------------------------------------------------- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Nature Underlying Securities of of Deriv- ship of (Instr. 3 and 4) Deriv- ative Form of Indirect ative Secur- Deriv- Benefi- Secur- ities ative cial ity Bene- Security: Owner- (Instr. ficially Direct ship 5) Owned (D) or (Instr. 4) at End Indirect ------------------------------------ of (I) Amount or Month (Instr. 4) Title Number of (Instr. 4) Shares - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock Warrants Common (right to buy) Stock 300,000 300,000 D Common Stock Warrants Common (right to buy) Stock 1,700,000 1,700,000 D Common Stock Options Common (right to buy) Stock 5,000 5,000 D - -----------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: /s/ Charles S. Holmes 12/17/96 ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. ---------------------- ------------- See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Date Reporting Person Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1474 (7-96)
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