4 1 form4.htm KIRK FORM 4 4: UNITED STATES SECURITIES AND EXCHANGE COMMISSION 6: 10:

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington D.C. 20549

FORM 4

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(h) of the Investment Company Act of 1940

OMB APPROVAL
OMB Number:  3235-0287
Expires:  January 31, 2005
Estimated average burden hours per response 0.5

[  ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

  1. Name and Address of Reporting Person*

     Kirk                   David                     M.

     (Last)                 (First)                  (Middle)

     4347 Sigma Road

     (Street)

     Dallas                  Texas                    75224

     (City)                 (State)                   (Zip) 

  1. Issuer Name and Ticker or Trading Symbol

            RF Monolithics, Inc. (RFMI)

  1. IRS Identification Number of Reporting Person, if an entity (Voluntary)

       4.   Statement for Month/Day/Year

              10/21/02

  1. If Amendment, Date of Original (Month/Day/Year)

 

  1. Relationship of Reporting Person(s) to Issuer (Check all applicable)

        [ X ]  Director                                [   ]  10% Owner

        [ X ]  Officer (give title below)     [   ]  Other (specify below)

  1. 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 (Instr.3)

2. Transaction Date (Month/ Day/Year)

 

 2A. Deemed Execution Date, if any  (Month/ Day/Year)

 

 

3. Transaction Code (Instr. 8)

4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)

5. Amount of Securities Beneficially Owned Following Reported Transactions (Instr. 3 and 4)

6. Ownership Form; Direct (D) or Indirect (I) (Instr 4)

7. Nature of Indirect Beneficial Ownership (Instr 4)

Code

V

Amount

(A) or (D)

Price

 

 

 

Common Stock

 

 

 

 

 

 

 

32,227

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). Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
(Over)
SEC 1474 (9-02)
(Form 4 (continued)

 Table II  Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Deriva-tive Securi-ty (Instr 3)

2. Con-version or Exercise Price of Derivative Security

3. Transaction Date (Month/ Day/Year)

 

3A. Deemed Execution Date, if any (Month/ Day/Year)

 

4. Transac-tion Code (Instr 8)

5. Number of Deriva-tive Securi-ties Acquired (A) or Disposed of (D) (Instr 3, 4 and 5)

6. Date Exercisable and Expiration Date (M/D/Y)

7. Title and Amount of Underlying Securities (Instr 3 and 4)

8. Price of Deriva-tive Security (Instr 5)

9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr 4)

10. Ownership Form of Derivative Security; Direct (D) or Indirect (I) (Instr 4)

11. Na-ture of Indi-rect Beneficial Owner-ship (Inst 4)

Code

V

A

D

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Option (right to buy)

$12.125

N/A

 

N/A

 

N/A

 

Note 1

05/19/08

Common Stock

40,000

 

40,000

D

 

Option (right to buy)

$6.0625

N/A

 

N/A

 

N/A

 

Note 2

04/07/09

Common Stock

20,000

 

20,000

D

 

Option (right to buy)

$6.375

N/A

 

N/A

 

N/A

 

Note 3

11/09/09

Common Stock

60,000

 

60,000

D

 

Option (right to buy)

$10.25

N/A

 

N/A

 

N/A

 

Note 2

04/18/10

Common Stock

10,000

 

10,000

D

 

Option (right to buy)

$4.875

N/A

 

N/A

 

N/A

 

Note 2

11/15/10

Common Stock

10,000

 

10,000

D

 

Option (right to buy)

$3.95

N/A

 

N/A

 

N/A

 

Note 2

04/17/11

Common Stock

30,000

 

30,000

D

 

Option (right to buy)

$2.01

N/A

 

N/A

 

N/A

 

Note 2

11/05/11

Common Stock

20,000

 

20,000

D

 

Option (right to buy)

$3.2274

10/21/02

 

A

 

 15,000

 

Note 2

10/21/12

Common Stock

15,000

 

15,000

D

 

 

 

 

 

 

 

 

 

 

 

 

 

TOTAL

205,000

 

 

Explanation of Responses:
(1)  Incentive Stock Option granted pursuant to the RF Monolithics, Inc. 1997 Equity Incentive Plan.  1/60th of the total number of shares granted vest on 06/01/98 and monthly thereafter.
(2)  Incentive Stock Option granted pursuant to the RF Monolithics, Inc. 1997 Equity Incentive Plan.  1/48th of the shares will vest on the first of every month following date of grant.
(3)  Nonstatutory Stock Option granted pursuant to the RF Monolithics, Inc. 1997 Equity Incentive Plan.  1/48th of the shares vest on the first day of every month following the date of grant.



/s/ Robert J. Conner                                                                                  10/23/02
-----------------------------------------------------                                             -----------
**By: Robert J. Conner, Attorney-in-Fact                                                 Date      

**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided 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.