-----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, D1UrrfJDQdLY12cxLyN7koMWHTX2Sq1UAL8TeAj6gRkYhQM0+G9rYW8+KdYCzG0k T9+w14b2St0RjZ4ruFaXPQ== 0000804312-97-000013.txt : 19970530 0000804312-97-000013.hdr.sgml : 19970530 ACCESSION NUMBER: 0000804312-97-000013 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961025 FILED AS OF DATE: 19970529 SROS: NASD FILER: 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: 10-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-16304 FILM NUMBER: 97615817 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 10-K/A 1 CONFORMED COPY - -------------------------------------------------------------------------- - -------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 2 To Form 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended October 25, 1996 Commission File Number 0-16304 Optek Technology, Inc. (Exact name of registrant as specified in its charter) Delaware 75-1962405 (State or other jurisdiction (I.R.S. Employer of incorporation or organization) Identification No.) 1215 West Crosby Road, Carrollton, Texas 75006 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (972) 323-2200 Securities registered pursuant to Section 12(b) of the Act: None Securities registered pursuant to Section 12(g) of the Act: Common Stock, par value $0.01 per share Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ( x ) No ( ) Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment of this Form 10-K. ( ) The aggregate market value of the registrant's voting stock held by non-affiliates as of October 25, 1996 was: $28,198,539 (* see note on index page). The number of shares outstanding of each class of registrant's common stock as of October 25, 1996 was: Common Stock, par value $0.01 per share, 3,912,915 shares. - ------------------------------------------------------------------------ Documents Incorporated by Reference Portions of the registrant's definitive proxy statement to be furnished to stockholders in connection with its Annual Meeting of Stockholders to be held on March 19, 1997 are incorporated by reference in Part III of this Form 10-K. - ------------------------------------------------------------------------- - ------------------------------------------------------------------------- The following tables, which were incorporated by reference into Item 11 of the Company's Form 10-K for the fiscal year ended October 25, 1996, are amended in their entirety to read as follows: Option Grants - -------------- The following table contains information about stock options granted to the executive officers named in the preceding table during the fiscal year ended October 25, 1996:
Potential Realizable Percentage Value At of Total Assumed Annual Options Rates of Granted Stock Price Number of to Appreciation Shares Un- Employees for derlying In Exercise Expi- Option Options Fiscal Price ration Term Name Granted Year ($/Share) Date 5% ($) 10% ($) Thomas R. Filesi 10,000 5.7% $11.969 3/19/2006 $75,272 $190,755 William J. Collinsworth 20,000 11.5% $10.25 10/21/2006 $128,923 $326,717 Richard G. Dahlberg 8,000 4.6% $11.969 3/19/2006 $60,218 $152,604 Thomas S. Garrett 8,000 4.6% $11.969 3/19/2006 $60,218 $152,604 Robert J. Kosobucki 8,000 4.6% $11.969 3/19/2006 $60,218 $152,604
Option Exercises And Fiscal Year End Option Values - --------------------------------------------------- The following table reflects option exercises during the fiscal year ended October 25, 1996, the number of shares underlying both exercisable and unexercisable options as of the fiscal year end and the value of unexercised "in the money" options as of the fiscal year end:
Acquired Value at Fiscal Year End At Fiscal Year End (2) on Realized Exer- Exer- Exer- Exer- Name Exercise (1) cisable cisable cisable cisable Thomas R. Filesi 100,000 $1,168,500 54,500 130,000 $444,590 $1,186,560 William J. Collinsworth 0 0 0 20,000 0 $ 17,500 Richard G. Dahlberg 36,223 $299,621 6,666 47,333 $33,830 $ 345,223 Thomas S. Garrett 46,666 $551,125 19,666 44,667 $160,830 $316,064 Robert J. Kosobucki 3,333 $35,705 6,666 28,000 $33,830 $114,413
(1) For purposes of calculating the value realized, the Company has used the average of the bid and asked prices as reported by a market maker on the date of exercise through April 22, 1996 and the closing price as reported by Nasdaq as of October 25, 1996. (2) For purposes of calculating the value of unexercised "in the money" options, the Company has used the closing price as reported by Nasdaq as of October 25, 1996. SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Form 10-K/A amending its annual report in Form 10-K to be signed on its behalf by the undersigned, thereunder duly authorized. OPTEK TECHNOLOGY, INC. By /s/ Thomas R. Filesi - ------------------------------------------------ Thomas R. Filesi, President and Chief Executive Officer Dated: May 29, 1997
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