-----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, O6sspcGo4kX5gfTdTLUsykC7ctagOf3cXJGYh5lDtZKQBoP/kUnh724eGcuQeHAh 94yLasiSi+z5N1zczy1lfg== 0000074697-99-000007.txt : 19990311 0000074697-99-000007.hdr.sgml : 19990311 ACCESSION NUMBER: 0000074697-99-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990228 FILED AS OF DATE: 19990310 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTICAL COATING LABORATORY INC CENTRAL INDEX KEY: 0000074697 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 680164244 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-02537 FILM NUMBER: 99561628 BUSINESS ADDRESS: STREET 1: 2789 NORTHPOINT PKWY CITY: SANTA ROSA STATE: CA ZIP: 95407 BUSINESS PHONE: 7075456440 MAIL ADDRESS: STREET 1: 2789 NORTHPOINT PARKWAY CITY: SANTA ROSA STATE: CA ZIP: 95407-7397 COMPANY DATA: COMPANY CONFORMED NAME: DWIGHT HERBERT M JR CENTRAL INDEX KEY: 0000928159 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 559387962 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 6575 LOWER RIDGE RD CITY: SANTA ROSA STATE: CA ZIP: 95404 BUSINESS PHONE: 7075257045 MAIL ADDRESS: STREET 1: 6575 LOWER RIDGE RD CITY: SANTA ROSA STATE: CA ZIP: 95404 4 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. 1. Name and Address of Reporting Person(s) DWIGHT, JR., HERBERT M. 6575 LOWER RIDGE ROAD SANTA ROSA, CA 95404 2. Issuer Name and Ticker or Trading Symbol OPTICAL COATING LABORATORY INC. (OCLI) 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year 02/99 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 title below) [ ] Other (specify below) Chairman of the Board 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 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code V Amount D Price End of Month I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 02/25/99 S 200,000 D $30.000000 457,629 D Direct Common Stock 1,678 I 401K Plan Common Stock 12/31/98 J (1)V 199 A (1) 3,028 I Held by ESOP Table II (PART 1) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code V A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Table II (PART 2) Derivative Securities Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Month - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Shares are acquired at various prices throughout the year by the issuer's qualified Employee Stock Ownership Plan (ESOP) and allocated to the reporting person's account at calendar year end. The shares are held for the benefit of the reporting person by the OCLI/401(k)/ESOP Plan.
SIGNATURE OF REPORTING PERSON /S/ DWIGHT, JR., HERBERT M. DATE -----END PRIVACY-ENHANCED MESSAGE-----