-----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, R8IgwmFoxyBtYJychwyxdnMk9Nh3uzUn+QCNs6OdNj/w6LX4tRAxY7tR9aL/RIgt LnYitOGrJfl/iitRqWjyaQ== 0001037113-98-000001.txt : 19980810 0001037113-98-000001.hdr.sgml : 19980810 ACCESSION NUMBER: 0001037113-98-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980731 FILED AS OF DATE: 19980807 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: 98679822 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: SEESER JAMES W CENTRAL INDEX KEY: 0001037113 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 489466702 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1115 HULEN DRIVE CITY: COLUMBIA STATE: MO ZIP: 65203 BUSINESS PHONE: 5734458317 MAIL ADDRESS: STREET 1: 1115 HULEN DRIVE CITY: COLUMBIA STATE: MO ZIP: 65203 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) SEESER, JAMES W. 1115 HULAN DRIVE COLUMBIA, MO 65203 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 07/98 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 and Chief Technical 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 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 07/29/98 M 6,000 A $6.125000 14,451 D Direct Common Stock 6,069 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 07/29/98 M 6,000 12/17/96 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 07/29/98 Common Stock 6,000 $16.750000 0 D Direct (right to buy) Explanation of Responses:
SIGNATURE OF REPORTING PERSON /S/ SEESER, JAMES W. DATE -----END PRIVACY-ENHANCED MESSAGE-----