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
October 1998
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)
V.P. - Engineering
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): 10/6/98
3. Transaction Code: S
4. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
2,500 D $12.8125
5. Amount of Securities Beneficially Owned at End of Month:
6. Ownership Form: Direct (D) or Indirect (I):
7. Nature of Indirect Beneficial Ownership:
1a. Title of Security: Common Stock, par value $0.01 per share
2a. Transaction Date (Month/Day/Year): 10/6/98
3a. Transaction Code: S
4a. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
2,500 D $12.75
5a. Amount of Securities Beneficially Owned at End of Month:
6a. Ownership Form: Direct (D) or Indirect (I):
7a. Nature of Indirect Beneficial Ownership:
1b. Title of Security: Common Stock, par value $0.01 per share
2b. Transaction Date (Month/Day/Year): 10/7/98
3b. Transaction Code: S
4b. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
2,000 D $12.875
5b. Amount of Securities Beneficially Owned at End of Month:
6b. Ownership Form: Direct (D) or Indirect (I):
7b. Nature of Indirect Beneficial Ownership:
1c. Title of Security: Common Stock, par value $0.01 per share
2c. Transaction Date (Month/Day/Year): 10/7/98
3c. Transaction Code: S
4c. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
1,000 D $13.00
5c. Amount of Securities Beneficially Owned at End of Month:
6c. Ownership Form: Direct (D) or Indirect (I):
7c. Nature of Indirect Beneficial Ownership:
1d. Title of Security: Common Stock, par value $0.01 per share
2d. Transaction Date (Month/Day/Year): 10/9/98
3d. Transaction Code: S
4d. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
1,500 D $13.375
5d. Amount of Securities Beneficially Owned at End of Month:
6d. Ownership Form: Direct (D) or Indirect (I):
7d. Nature of Indirect Beneficial Ownership:
1e. Title of Security: Common Stock, par value $0.01 per share
2e. Transaction Date (Month/Day/Year): 10/12/98
3e. Transaction Code: S
4e. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
1,900 D $13.75
5e. Amount of Securities Beneficially Owned at End of Month:
6e. Ownership Form: Direct (D) or Indirect (I):
7e. Nature of Indirect Beneficial Ownership:
1f. Title of Security: Common Stock, par value $0.01 per share
2f. Transaction Date (Month/Day/Year): 10/13/98
3f. Transaction Code: S
4f. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
3,000 D $13.8125
5f. Amount of Securities Beneficially Owned at End of Month:
6f. Ownership Form: Direct (D) or Indirect (I):
7f. Nature of Indirect Beneficial Ownership:
1g. Title of Security: Common Stock, par value $0.01 per share
2g. Transaction Date (Month/Day/Year): 10/14/98
3g. Transaction Code: S
4g. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
550 D $14.00
5g. Amount of Securities Beneficially Owned at End of Month:
25,472
6g. Ownership Form: Direct (D) or Indirect (I): D
7g. Nature of Indirect Beneficial Ownership:
<PAGE>
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 Voluntary
- -
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:
1a. Title of Derivative Security: Stock Option
2a. Conversion or Exercise Price of Derivative Security:
$11.969
3a. Transaction Date (Month/Day/Year): -
4a. Transaction Code: Code Voluntary
- -
5a. Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- -
6a. Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
(1) 3/19/2006
7a. Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 5,334
8a. Price of Derivative Security: -
9a. Number of derivative Securities Beneficially Owned at End of
Month: 1
10a. Ownership Form of Derivative Security: Direct (D) or
Indirect (I): D
11a. Nature of Indirect Beneficial Ownership:
1b. Title of Derivative Security: Stock Option
2b. Conversion or Exercise Price of Derivative Security:
$10.12
3b. Transaction Date (Month/Day/Year): -
4b. Transaction Code: Code Voluntary
- -
5b. Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- -
6b. Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
(2) 1/18/2007
7b. Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 5,334
8b. Price of Derivative Security: -
9b. Number of derivative Securities Beneficially Owned at End of
Month: 1
10b. Ownership Form of Derivative Security: Direct (D) or
Indirect (I): D
11b. Nature of Indirect Beneficial Ownership:
1c. Title of Derivative Security: Stock Option
2c. Conversion or Exercise Price of Derivative Security:
$27.0625
3c. Transaction Date (Month/Day/Year): -
4c. Transaction Code: Code Voluntary
- -
5c. Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- -
6c. Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
(3) 3/16/2008
7c. Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 10,000
8c. Price of Derivative Security: -
9c. Number of derivative Securities Beneficially Owned at End of
Month: 1
10c. Ownership Form of Derivative Security: Direct (D) or
Indirect (I): D
11c. Nature of Indirect Beneficial Ownership:
Explanation of Responses:
(1) Options to vest in increments of 2,667 as of March 19, 1998
and 1999.
(2) Options to vest in increments of 2,667 as of January 18,
1999 and 2000.
(3) Options to vest in increments of 33 1/3% as of March 17,
1999, 2000 and 2001.
/s/ Richard G. Dahlberg
Signature of Reporting Person
November 2, 1998
