-----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, P8FxfwH1U5HUzJO5+bBrCWqeAax4WnYvwOviRM7IFrGFvb5M6z+o36bB0E8mcLXc Sf8moVb/xBigB2NM78ipwg== 0000804312-99-000002.txt : 19990120 0000804312-99-000002.hdr.sgml : 19990120 ACCESSION NUMBER: 0000804312-99-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990111 FILED AS OF DATE: 19990119 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTEK TECHNOLOGY INC CENTRAL INDEX KEY: 0000804312 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 751962405 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-16304 FILM NUMBER: 99507795 BUSINESS ADDRESS: STREET 1: 1215 W CROSBY RD STREET 2: MS 400 CITY: CARROLLTON STATE: TX ZIP: 75006 BUSINESS PHONE: 2143232200 MAIL ADDRESS: STREET 1: 1215 W CROSBY RD CITY: CARROLLTON STATE: TX ZIP: 75006 COMPANY DATA: COMPANY CONFORMED NAME: OPTEK TECHNOLOGY INC CENTRAL INDEX KEY: 0000804312 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] DIRECTOR IRS NUMBER: 751962405 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1215 W CROSBY RD STREET 2: MS 400 CITY: CARROLLTON STATE: TX ZIP: 75006 BUSINESS PHONE: 2143232200 MAIL ADDRESS: STREET 1: 1215 W CROSBY RD CITY: CARROLLTON STATE: TX ZIP: 75006 4 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See instruction 1(b). 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 1. Filesi Thomas R. (Last) (First) (Middle) 1180 Emerald Sound Blvd. (Street) Oak Point TX 75068 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Optek Technology, Inc. 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 1999 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner X Officer (give Other (specify title below) below) Chairman and Chief Executive Officer 7. 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: Common Stock, par value $0.01 per share 2. Transaction Date (Month/Day/Year): 1/11/99 3. Transaction Code: M 4. Securities Acquired (A) or Disposed of (D): Amount (A) or (D) Price 36,000 A $2.31 5. Amount of Securities Beneficially Owned at End of Month: 6. Ownership Form: Direct (D) or Indirect (I): 7. Nature of Indirect Beneficial Ownership: 1(a) Title of Security: Common Stock, par value $0.01 per share 2(a) Transaction Date (Month/Day/Year): 1/11/99 3(a) Transaction Code: M 4(a) Securities Acquired (A) or Disposed of (D): Amount (A) or (D) Price 8,500 A $2.125 5(a) Amount of Securities Beneficially Owned at End of Month: 345,500 6(a) Ownership Form: Direct (D) or Indirect (I): D 7(a) Nature of Indirect Beneficial Ownership: TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative Security: Incentive Stock Option 2. Conversion or Exercise Price of Derivative Security: $2.31 3. Transaction Date (Month/Day/Year): 1/11/99 4. Transaction Code: Code Voluntary M - 5. Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - 1 6. Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date Fully Vested 4/1/2001 7. Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 36,000 8. Price of Derivative Security: 36,000 9. Number of derivative Securities Beneficially Owned at End of Month: - 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I): - 11. Nature of Indirect Beneficial Ownership: 1(a) Title of Derivative Security: Stock Option 2(a) Conversion or Exercise Price of Derivative Security: $2.125 3(a) Transaction Date (Month/Day/Year): 1/11/99 4(a) Transaction Code: Code Voluntary M - 5(a) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - 1 6(a) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date Fully Vested 9/17/2002 7(a) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 8,500 8(a) Price of Derivative Security: - 9(a) Number of derivative Securities Beneficially Owned at End of Month: - 10(a) Ownership Form of Derivative Security: Direct (D) or Indirect (I): - 11(a) Nature of Indirect Beneficial Ownership: 1(b) Title of Derivative Security: Stock Option 2(b) Conversion or Exercise Price of Derivative Security: $6.05 3(b) Transaction Date (Month/Day/Year): - 4(b) Transaction Code: Code Voluntary - - 5(b) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - - 6(b) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date Fully Vested 8/16/2005 7(b) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 30,000 8(b) Price of Derivative Security: - 9(b) Number of derivative Securities Beneficially Owned at End of Month: 1 10(b) Ownership Form of Derivative Security: Direct (D) or Indirect (I): D 11(b) Nature of Indirect Beneficial Ownership: 1(c) Title of Derivative Security: Stock Option 2(c) Conversion or Exercise Price of Derivative Security: $11.969 3(c) Transaction Date (Month/Day/Year): - 4(c) Transaction Code: Code Voluntary - - 5(c) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - - 6(c) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date (1) 3/19/2006 7(c) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 10,000 8(c) Price of Derivative Security: - 9(c) Number of derivative Securities Beneficially Owned at End of Month: 1 10(c) Ownership Form of Derivative Security: Direct (D) or Indirect (I): D 11(c) Nature of Indirect Beneficial Ownership: 1(d) Title of Derivative Security: Stock Option 2(d) Conversion or Exercise Price of Derivative Security: $10.12 3(d) Transaction Date (Month/Day/Year): - 4(d) Transaction Code: Code Voluntary - - 5(d) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - - 6(d) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date (2) 1/18/2007 7(d) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 10,000 8(d) Price of Derivative Security: - 9(d) Number of derivative Securities Beneficially Owned at End of Month: 1 10(d) Ownership Form of Derivative Security: Direct (D) or Indirect (I): D 11(d) Nature of Indirect Beneficial Ownership: 1(e) Title of Derivative Security: Stock Option 2(e) Conversion or Exercise Price of Derivative Security: $27.0625 3(e) Transaction Date (Month/Day/Year): - 4(e) Transaction Code: Code Voluntary - - 5(e) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - - 6(e) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date (3) 3/16/2008 7(e) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 12,000 8(e) Price of Derivative Security: - 9(e) Number of derivative Securities Beneficially Owned at End of Month: 1 10(e) Ownership Form of Derivative Security: Direct (D) or Indirect (I): D 11(e) Nature of Indirect Beneficial Ownership: Explanation of Responses: (1) Options vest in increments of 33 1/3% as of March 19, 1997, 1998 and 1999. (2) Options vest in increments of 33 1/3% as of January 18, 1998, 1999 and 2000. (3) Options vest in increments of 33 1/3% as of March 17, 1999, 2000 and 2001. /s/ Thomas R. Filesi Signature of Reporting Person January 12, 1999 -----END PRIVACY-ENHANCED MESSAGE-----