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. Filesi Thomas R.
(Last) (First) (Middle)
1180 Emerald Sound Blvd.
(Street)
Oak Point TX 75068
(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
January 1999
5. If Amendment, Date of Original (Month/Year)
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give Other (specify
title below) below)
Chairman and Chief Executive Officer
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): 1/11/99
3. Transaction Code: M
4. Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
36,000 A $2.31
5. Amount of Securities Beneficially Owned at End of Month:
6. Ownership Form: Direct (D) or Indirect (I):
7. Nature of Indirect Beneficial Ownership:
1(a) Title of Security: Common Stock, par value $0.01 per share
2(a) Transaction Date (Month/Day/Year): 1/11/99
3(a) Transaction Code: M
4(a) Securities Acquired (A) or Disposed of (D):
Amount (A) or (D) Price
8,500 A $2.125
5(a) Amount of Securities Beneficially Owned at End of Month:
345,500
6(a) Ownership Form: Direct (D) or Indirect (I): D
7(a) Nature of Indirect Beneficial Ownership:
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TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF,
OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS,
CONVERTIBLE SECURITIES)
1. Title of Derivative Security: Incentive Stock Option
2. Conversion or Exercise Price of Derivative Security:
$2.31
3. Transaction Date (Month/Day/Year): 1/11/99
4. Transaction Code: Code Voluntary
M -
5. Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- 1
6. Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
Fully Vested 4/1/2001
7. Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 36,000
8. Price of Derivative Security: 36,000
9. Number of derivative Securities Beneficially Owned at End of
Month: -
10. Ownership Form of Derivative Security: Direct (D) or
Indirect (I): -
11. Nature of Indirect Beneficial Ownership:
1(a) Title of Derivative Security: Stock Option
2(a) Conversion or Exercise Price of Derivative Security:
$2.125
3(a) Transaction Date (Month/Day/Year): 1/11/99
4(a) Transaction Code: Code Voluntary
M -
5(a) Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- 1
6(a) Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
Fully Vested 9/17/2002
7(a) Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 8,500
8(a) Price of Derivative Security: -
9(a) Number of derivative Securities Beneficially Owned at End of
Month: -
10(a) Ownership Form of Derivative Security: Direct (D) or
Indirect (I): -
11(a) Nature of Indirect Beneficial Ownership:
1(b) Title of Derivative Security: Stock Option
2(b) Conversion or Exercise Price of Derivative Security:
$6.05
3(b) Transaction Date (Month/Day/Year): -
4(b) Transaction Code: Code Voluntary
- -
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
Fully Vested 8/16/2005
7(b) Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 30,000
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:
$11.969
3(c) Transaction Date (Month/Day/Year): -
4(c) Transaction Code: Code Voluntary
- -
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
(1) 3/19/2006
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:
$10.12
3(d) Transaction Date (Month/Day/Year): -
4(d) Transaction Code: Code Voluntary
- -
5(d) Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- -
6(d) Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
(2) 1/18/2007
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:
1(e) Title of Derivative Security: Stock Option
2(e) Conversion or Exercise Price of Derivative Security:
$27.0625
3(e) Transaction Date (Month/Day/Year): -
4(e) Transaction Code: Code Voluntary
- -
5(e) Number of Derivative Securities Acquired (A) or Disposed of
(D): (A) (D)
- -
6(e) Date Exercisable and Expiration Date (Month/Day/Year):
Date Exercisable Expiration Date
(3) 3/16/2008
7(e) Title and Amount of Underlying Securities:
Title Amount or Number of Shares
Common Stock 12,000
8(e) Price of Derivative Security: -
9(e) Number of derivative Securities Beneficially Owned at End of
Month: 1
10(e) Ownership Form of Derivative Security: Direct (D) or
Indirect (I): D
11(e) Nature of Indirect Beneficial Ownership:
Explanation of Responses:
(1) Options vest in increments of 33 1/3% as of March 19, 1997,
1998 and 1999.
(2) Options vest in increments of 33 1/3% as of January 18,
1998, 1999 and 2000.
(3) Options vest in increments of 33 1/3% as of March 17,
1999, 2000 and 2001.
/s/ Thomas R. Filesi
Signature of Reporting Person
January 12, 1999
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