-----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, G+p6wk8D2TjRpNdKo7iOQHiQslQo0kPRSeL7BH3HQK23huenBVkVYZpgOnxxcDHV d7iB8aOEGaQwU2GOpnvWSA== 0001106372-10-000003.txt : 20100105 0001106372-10-000003.hdr.sgml : 20100105 20100105121854 ACCESSION NUMBER: 0001106372-10-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100102 FILED AS OF DATE: 20100105 DATE AS OF CHANGE: 20100105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Herrman Rick L. CENTRAL INDEX KEY: 0001447249 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24414 FILM NUMBER: 10505203 MAIL ADDRESS: STREET 1: C/O RF MONOLITHICS, INC. STREET 2: 4441 SIGMA ROAD CITY: DALLAS STATE: TX ZIP: 75244 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RF MONOLITHICS INC /DE/ CENTRAL INDEX KEY: 0000922204 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 751638027 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 BUSINESS ADDRESS: STREET 1: 4347 SIGMA RD CITY: DALLAS STATE: TX ZIP: 75244 BUSINESS PHONE: 9722332903 MAIL ADDRESS: STREET 1: 4347 SIGMA RD CITY: DALLAS STATE: TX ZIP: 75244 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2010-01-02 0 0000922204 RF MONOLITHICS INC /DE/ RFMI 0001447249 Herrman Rick L. C/O RF MONOLITHICS, INC. 4441 SIGMA ROAD DALLAS TX 75244 1 0 0 0 Common Stock 2010-01-02 4 M 0 3750 0 A 22500 I The Catalyst Group, Inc. Restricted Stock Units 2010-01-02 4 M 0 3750 0 D Common Stock 3750 11250 I The Catalyst Group, Inc. The shares listed as indirectly owned on this line are owned by The Catalyst Group, Inc. The Reporting Person may be deemed to share voting and investment power with respect to the shares of common stock owned directly by Catalyst Group, Inc. by virtue of being a shareholder of Catalyst Group, Inc. The Reporting Person disclaims beneficial ownership with respect to all of these shares except to the extent of his pecuniary interest. Each Restricted Stock Unit represents a contingent right to receive one share of RFMI Common Stock. The Restricted Stock Units will vest in four equal installments beginning on the first trading day of 2010 and on the first trading day of the ensuing three years. The Restricted Stock Units listed as indirectly owned on this line are owned by The Catalyst Group, Inc. The Reporting Person may be deemed to share voting and investment power with respect to the Restricted Stock Units owned directly by The Catalyst Group, Inc. by virtue of being a shareholder of The Catalyst Group, Inc. The Reporting Person disclaims beneficial ownership with respect to all of these Restricted Stock Units except to the extent of his pecuniary interest. /s/ Curtis G. Carlson, as Attorney-in-Fact 2010-01-05 -----END PRIVACY-ENHANCED MESSAGE-----