-----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, JUA+BNIWvz4jUiuKB3JvsSYxHfMbogkAfA1FW5JRHCvjQnlVzx3gy6OIgb/kGymx tYYm8+80mes2ooOx31Y0xQ== 0000950134-98-002379.txt : 19980326 0000950134-98-002379.hdr.sgml : 19980326 ACCESSION NUMBER: 0000950134-98-002379 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19971031 FILED AS OF DATE: 19980325 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: SEC FILE NUMBER: 000-16304 FILM NUMBER: 98572716 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 AMENDMENT NO. 3 TO FORM 10-K FOR YEAR END 10/31/97 1 CONFORMED COPY SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 3 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 31, 1997 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 31, 1997 was: $67,909,282 (* see note on index page). The number of shares outstanding of each class of registrant's common stock as of October 31, 1997 was: Common Stock, par value $0.01 per share, 4,259,534 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 17, 1998 are incorporated by reference in Part III of this Form 10-K. 2 The list of exhibits included in the Form 10-K is amended to read as follows:
No. Exhibits - -- -------- 3.7 Bylaws of Optek Technology, Inc. (1). 3.8 Restated Certificate of Incorporation of Optek Technology, Inc. dated August 27, 1987 (2). 10.1 Restated and Amended 1983 Incentive Stock Option Plan (1). 10.2 Form of Incentive Stock Option Agreement (1). 10.47 Long-Term Stock Investment Plan (3). 10.48 Directors' Formula Award Plan (3). 10.52 Warrant to Purchase Common Stock of Optek Technology, Inc. dated May 20, 1993 (4). 10.53 Warrant to Purchase Common Stock of Optek Technology, Inc. dated November 22, 1993 (4). 10.54 Warrant to Purchase Common Stock of Optek Technology, Inc. dated November 22, 1993 (4). 10.61 Employment Agreement between Optek Technology, Inc. and Thomas R. Filesi (5). 10.62 Consulting Agreement between Optek Technology, Inc. and Grant A. Dove (5). 10.63 Employment Agreement between Optek Technology, Inc. and William J. Collinsworth (5). 10.64 Employment Agreement between Optek Technology, Inc. and Richard Dahlberg (5). 10.65 Employment Agreement between Optek Technology, Inc. and Thomas Garrett (5). 10.66 Employment Agreement between Optek Technology, Inc. and Robert Kosobucki (5). 10.67 Amended and Restated Optek Technology, Inc. 401(k) Plan (5). 10.68 Directors' Formula Compensation Plan (6). 10.69 Termination Agreement dated as of October 31, 1997 between Optek Technology, Inc. and First Source Financial, L.P. 10.70 Second Amended and Restated Warrant to Purchase Common Stock of Optek Technology, Inc. dated October 31, 1997. 10.71 Loan Agreement dated January 29, 1998 between NationsBank of Texas, N.A. and Optek Technology, Inc. 10.72 Lease Agreement between Equipos Climatec, S.A. de C.V. and Optron de Mexico, S.A. de C.V. 10.73 Agreement dated November 1, 1994 between Strattec Security Corporation and Optek Technology, Inc.(7). 11.1 Statement Regarding Computation of Per Share Earnings. 22 Subsidiaries of the Registrant. 23 Independent Auditors' Consent.
(1) Previously filed as Exhibits 3.7, 10.1 and 10.2, to registrant's Registration Statement on Form S-1, No. 33-14885, and incorporated herein by reference. (2) Previously filed as Exhibit 3.8 to registrant's Registration Statement on Form 8-A filed on October 15, 1987, and incorporated herein by reference. (3) Previously filed as Exhibits 10.47 and 10.48 to registrant's Annual Report on Form 10-K for the fiscal year ended October 25, 1991 and incorporated herein by reference. (4) Previously filed as Exhibits 10.52, 10.53 and 10.54 to registrant's Annual Report on Form 10-K for the fiscal year ended October 28, 1994 and incorporated herein by reference. (5) Previously filed as Exhibits 10.61, 10.62, 10.63, 10.64, 10.65, 10.66, and 10.67 to registrant's Annual Report on Form 10-K for the fiscal year ended October 25, 1996 and incorporated herein by reference. (6) Previously filed as Exhibit 10.68 to registrant's Quarterly Report on Form 10-Q for the fiscal quarter ended May 2, 1997 and incorporated herein by reference. (7) Confidential treatment requested. 3 SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Optek Technology, Inc. By: /s/ WILLIAM J. COLLINGSWORTH ---------------------------- William J. Collingsworth Vice President - Finance 4 INDEX TO EXHIBITS
Exhibit Number Description - ------ ----------- 3.7 Bylaws of Optek Technology, Inc. (1). 3.8 Restated Certificate of Incorporation of Optek Technology, Inc. dated August 27, 1987 (2). 10.1 Restated and Amended 1983 Incentive Stock Option Plan (1). 10.2 Form of Incentive Stock Option Agreement (1). 10.47 Long-Term Stock Investment Plan (3). 10.48 Directors' Formula Award Plan (3). 10.52 Warrant to Purchase Common Stock of Optek Technology, Inc. dated May 20, 1993 (4). 10.53 Warrant to Purchase Common Stock of Optek Technology, Inc. dated November 22, 1993 (4). 10.54 Warrant to Purchase Common Stock of Optek Technology, Inc. dated November 22, 1993 (4). 10.61 Employment Agreement between Optek Technology, Inc. and Thomas R. Filesi (5). 10.62 Consulting Agreement between Optek Technology, Inc. and Grant A. Dove (5). 10.63 Employment Agreement between Optek Technology, Inc. and William J. Collinsworth (5). 10.64 Employment Agreement between Optek Technology, Inc. and Richard Dahlberg (5). 10.65 Employment Agreement between Optek Technology, Inc. and Thomas Garrett (5). 10.66 Employment Agreement between Optek Technology, Inc. and Robert Kosobucki (5). 10.67 Amended and Restated Optek Technology, Inc. 401(k) Plan (5). 10.68 Directors' Formula Compensation Plan (6). 10.69 Termination Agreement dated as of October 31, 1997 between Optek Technology, Inc. and First Source Financial, L.P. 10.70 Second Amended and Restated Warrant to Purchase Common Stock of Optek Technology, Inc. dated October 31, 1997. 10.71 Loan Agreement dated January 29, 1998 between NationsBank of Texas, N.A. and Optek Technology, Inc. 10.72 Lease Agreement between Equipos Climatec, S.A. de C.V. and Optron de Mexico, S.A. de C.V. 10.73 Agreement dated November 1, 1994 between Strattec Security Corporation and Optek Technology, Inc.(7). 11.1 Statement Regarding Computation of Per Share Earnings. 22 Subsidiaries of the Registrant. 23 Independent Auditors' Consent.
(1) Previously filed as Exhibits 3.7, 10.1 and 10.2, to registrant's Registration Statement on Form S-1, No. 33-14885, and incorporated herein by reference. (2) Previously filed as Exhibit 3.8 to registrant's Registration Statement on Form 8-A filed on October 15, 1987, and incorporated herein by reference. (3) Previously filed as Exhibits 10.47 and 10.48 to registrant's Annual Report on Form 10-K for the fiscal year ended October 25, 1991 and incorporated herein by reference. (4) Previously filed as Exhibits 10.52, 10.53 and 10.54 to registrant's Annual Report on Form 10-K for the fiscal year ended October 28, 1994 and incorporated herein by reference. (5) Previously filed as Exhibits 10.61, 10.62, 10.63, 10.64, 10.65, 10.66, and 10.67 to registrant's Annual Report on Form 10-K for the fiscal year ended October 25, 1996 and incorporated herein by reference. (6) Previously filed as Exhibit 10.68 to registrant's Quarterly Report on Form 10-Q for the fiscal quarter ended May 2, 1997 and incorporated herein by reference. (7) Confidential treatment requested. EX-10.73 2 AGREEMENT DATED NOVEMBER 1, 1994 1 EXHIBIT 10.73 Agreement dated November 1, 1994 between Strattec Security Corporation and Optek Technology, Inc. [Omitted and submitted separately to the Securities and Exchange Commission as confidential.] -----END PRIVACY-ENHANCED MESSAGE-----