-----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, G3eQWstxh14UXWY5gGv7qLZIdhQ87StYr+qApB1A+JUAyWx398FjqWnjeFrA0F5B AYW34K2QDCnWBdbFa/xLKg== 0000804312-99-000017.txt : 19990406 0000804312-99-000017.hdr.sgml : 19990406 ACCESSION NUMBER: 0000804312-99-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990405 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: 99587351 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] OFFICER 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 FORM 4 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. Dahlberg Richard G. ------------------------------------------------------------ (Last) (First) (Middle) 2732 Greywood ------------------------------------------------------------ (Street) Plano Texas 75057 ------------------------------------------------------------ (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 March 1999 ------------------------------------------------------------ 5. If Amendment, Date of Original (Month/Year) ------------------------------------------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner -- --- X Officer (give --- Other (specify -- title below) below) Senior Vice President - Director of Operations ----------------------------------------------------------- 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): ------------------------- 3. Transaction Code: Code V ---------------------------------------- 4. Securities Acquired (A) or Disposed of (D): Amount (A) or (D) Price ------------------------------------------------------------ 5. Amount of Securities Beneficially Owned at End of Month: 25,472 ------------------------------------------------------------ 6. Ownership Form: Direct (D) or Indirect (I): D --------------- 7. 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: Stock Option ------------------------------ 2. Conversion or Exercise Price of Derivative Security: $6.05 ------------------------------------------------------------ 3. Transaction Date (Month/Day/Year): - ------------------------ 4. Transaction Code: Code V - - ---------------------------------------- 5. Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - - ------------------------------------------------------- 6. Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date Vested 8/16/2005 ------------------------------------------------------------ 7. Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 6,667 ------------------------------------------------------------ 8. Price of Derivative Security: - ----------------------------- 9. Number of derivative Securities Beneficially Owned at End of Month: 1 ------------------------------------------------------- 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I): D --------------------------------------------- 11. Nature of Indirect Beneficial Ownership: ------------------------------------------------------------ 1(a) Title of Derivative Security: Stock Option ------------------------------ 2(a) Conversion or Exercise Price of Derivative Security: $11.969 ------------------------------------------------------------ 3(a) Transaction Date (Month/Day/Year): - ------------------------ 4(a) Transaction Code: Code V - - ---------------------------------------- 5(a) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) - - ------------------------------------------------------- 6(a) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date Vested 3/19/2006 ------------------------------------------------------------ 7(a) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 5,334 ------------------------------------------------------------ 8(a) Price of Derivative Security: - ----------------------------- 9(a) Number of derivative Securities Beneficially Owned at End of Month: 1 ------------------------------------------------------- 10(a) Ownership Form of Derivative Security: Direct (D) or Indirect (I): D --------------------------------------------- 11(a) Nature of Indirect Beneficial Ownership: ------------------------------------------------------------ 1(b) Title of Derivative Security: Stock Option ------------------------------ 2(b) Conversion or Exercise Price of Derivative Security: $10.12 ------------------------------------------------------------ 3(b) Transaction Date (Month/Day/Year): - ------------------------ 4(b) Transaction Code: Code V - - ---------------------------------------- 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 (1) 1/18/2007 ------------------------------------------------------------ 7(b) Title and Amount of Underlying Securities: Title Amount or Number of Shares Common Stock 5,334 ------------------------------------------------------------ 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: $27.0625 ------------------------------------------------------------ 3(c) Transaction Date (Month/Day/Year): - ------------------------ 4(c) Transaction Code: Code V - - ---------------------------------------- 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 (2) 3/16/2008 ------------------------------------------------------------ 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: $15.625 ------------------------------------------------------------ 3(d) Transaction Date (Month/Day/Year): 3/16/99 ------------------------ 4(d) Transaction Code: Code V A - ---------------------------------------- 5(d) Number of Derivative Securities Acquired (A) or Disposed of (D): (A) (D) 1 - ------------------------------------------------------- 6(d) Date Exercisable and Expiration Date (Month/Day/Year): Date Exercisable Expiration Date (3) 3/15/2009 ------------------------------------------------------------ 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: ------------------------------------------------------------ Explanation of Responses: (1) Options to vest in increments of 2,667 as of January 18, 1999 and 2000. (2) Options to vest in increments of 33 1/3% as of March 17, 1999, 2000 and 2001. (3) Options to vest in increments of 33 1/3% as of March 16, 2000, 2001 and 2002. /s/ Richard Dahlberg ----------------------------------- Signature of Reporting Person March 31, 1999 ----------------------------------- Date -----END PRIVACY-ENHANCED MESSAGE-----