-----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, LX576dRpwco6uN07IeQMWMUGpVGv+u+fSQfz7tyWr298v2+3GcqinFyrfwdxX2jm BwG55FjRsfMiqqb+BQp7MA== 0001037112-98-000001.txt : 19980918 0001037112-98-000001.hdr.sgml : 19980918 ACCESSION NUMBER: 0001037112-98-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980831 FILED AS OF DATE: 19980917 SROS: NASD 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: 98710852 BUSINESS ADDRESS: STREET 1: 2789 NORTHPOINT PKWY CITY: SANTA ROSA STATE: CA ZIP: 95407 BUSINESS PHONE: 7075257072 MAIL ADDRESS: STREET 1: 2789 NORTHPOINT PARKWAY CITY: SANTA ROSA STATE: CA ZIP: 95407-7397 COMPANY DATA: COMPANY CONFORMED NAME: PIETRELLI KENNETH D CENTRAL INDEX KEY: 0001037112 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 547668905 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4873 HOEN AVE CITY: SANTA ROSA STATE: CA ZIP: 95405 BUSINESS PHONE: 7075257520 MAIL ADDRESS: STREET 1: 4873 HOEN AVE CITY: SANTA ROSA STATE: CA ZIP: 95405 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) PIETRELLI, KENNETH D. 4873 HOEN AVENUE SANTA ROSA, CA 95405 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 08/98 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 title below) [ ] Other (specify below) Vice President, Corporate Services 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 08/28/98 M 5,000 A $6.125000 D Direct Common Stock 08/28/98 S 5,000 D $16.024818 11,945 D Direct Common Stock 2,950 I 401K Plan Common Stock 7,045 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 - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option $6.125000 08/28/98 M 5,000 08/28/98 12/17/98 (right to buy) 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 - ------------------------------------------------------------------------------------------------------------------------------------ Non-Qualified Stock Option 08/28/98 Common Stock 5,000 $16.250000 5,000 D Direct (right to buy) Explanation of Responses:
SIGNATURE OF REPORTING PERSON /S/ PIETRELLI, KENNETH D. DATE -----END PRIVACY-ENHANCED MESSAGE-----