-----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, IlgXTn7eo3XsUTzXFWlFhsCnUr4PilKvgshv45girFhOv9NAi/8mGBVoW6lZhwZ/ BSXczyihD+I1cq6Ky0Sncw== 0001001277-00-000106.txt : 20000406 0001001277-00-000106.hdr.sgml : 20000406 ACCESSION NUMBER: 0001001277-00-000106 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000301 FILED AS OF DATE: 20000405 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIGITAL POWER CORP CENTRAL INDEX KEY: 0000896493 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 941721931 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-12711 FILM NUMBER: 593837 BUSINESS ADDRESS: STREET 1: 41920 CHRISTY ST CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106572635 MAIL ADDRESS: STREET 1: 41920 CHRISTY STREET CITY: FREMONT STATE: CA ZIP: 94538 COMPANY DATA: COMPANY CONFORMED NAME: SMITH ROBERT O CENTRAL INDEX KEY: 0000091335 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 41920 CHRISTY STREET CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5106572635 MAIL ADDRESS: STREET 1: 41920 CHRISTY STREET CITY: FREMONT STATE: CA ZIP: 94538 4 1 FORM 4 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION FORM 4 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 (Print or Type Responses) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person*/ 2. Issuer Name and / 5. Relationship of Reporting / Ticker or Trading Symbol / Person(s) to Issuer / / (Check all applicable) / / -X- Director --- 10% Owner (Last) (First) (Middle) / DIGITAL POWER CORPORATION / -X- Officer --- Other SMITH, ROBERT / (AMEX:DPW) / (give title below) (specify below) / / CHIEF EXECUTIVE OFFICER - ----------------------------------------/-----------------------------------------/------------------------------------------------- / / / 3. Statement 4. If Amendment, Date / 6. Individual or Joint/Group Filing / for Month/Year of Original(Month/Year) / (Check Applicable Line) / / X Form filed by one Reporting Person / 03/2000 ---- / -- Form filed by More than One / / Reporting Person - ----------------------------------------/ / / / / / C/O DIGITAL POWER CORPORATION / / 41920 CHRISTY STREET / / - --------------------------------------- / / (Street) / / - --------------------------------------- / / / / / / FREMONT, CALIFORNIA 94538 / / - --------------------------------------- / / (City) (State) (Zip) / / / / - -----------------------------------------------------------------------------------------------------------------------------------
TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title / 2. Transaction / 3. Transaction / 4. Securities Acquired (A) / 5. Amount of / / / of / Date / Code / or Disposed (D)(Instr.3,4,and 5) / Securities / 6. Ownership / 7.Nature of / Security / (Mo/Day/Yr) / (Instr. 8) / / Beneficially Owned / Form: Direct/ Indirect / (Inst.3) / / ---------------------------------------------------/ at End of Month / (D) or / Beneficial / / / Code / V / Amount / (A) or (D) / Price / (Instr. 3 / Indirect(I) / Ownership / / / / / / / / and 4 / (Instr.4) / (Instr.4) / ===================================================================================================================================/ n/a / ===================================================================================================================================/ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v).
2 FORM 4 (continued) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- Title / Conversion/ Trans- / Trans- / Nature of / Date / Title /Price of / Number / Ownership / Nature of / of / of / action / action / Derivative/ Exercisable / and / Deriv- / of / Form of / Indirect / Derivative / Exercise / Date / Code / Securities/ and / Amount / ative / Deriv- / Derivative / Beneficial/ Security / Price of / (Mo./ / (Instr./ Aquired(A)/ Expiration / of / Secur- / ative / Security: / Ownership / (Instr. 3) / Derivative/ Day/ / 8) / Disposed / Date / Under- / ity / Securi-/ Direct (D) / (Instr.4) / / Security / Year) / / of (D) / (Month / lying /Benefic- / ties / or Indirect/ / / / / / (Instr. 3,/ Day/ year) / Securities / ally / (I) / (Instr. 4) / / / / / / 4 and 5) / / (Instr. 3 / Owned /(Instr4)/ / / / / / / / / and 4) / at end / / / / / / /-----------------------------------------------------/ of / / / / / / /Code/ V / (A) /(D)/ Date / Expir-/ Title /Amount/ month / / / / / / / / / / / Exer- / ation / / / (Instr. / / / / / / / / / / / cisable/ Date / / / 4) / / / / ==================================================================================================================================== OPTIONS TO / (1) /3/1/00 / A / /100,000/ / IMMED. /1/3/2010/COMMON / / GRANT /598,400 / D PURCHASE / / / / / / / / /STOCK / / / / COMMON / / / / / / / / / / / / / STOCK / / / / / / / / / / / / / - ------------------------------------------------------------------------------------------------------------------------------------
(1) PURSUANT TO MR. SMITH'S EMPLOYMENT CONTRACT EXECUTED ON MARCH 1, 2000, THE EXERCISE PRICE SHALL BE EQUAL TO THE LOWER OF (A) THE CLOSING PRICE OF THE COMMON STOCK AS OF JANUARY 3, 2000 ($1.56) OR (B) THE AVERAGE CLOSING PRICE OF THE COMMON STOCK FOR THE FIRST SIX MONTHS OF THE YEAR. Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ROBERT SMITH 4/3/2000 -------------------------------- --------- Robert Smith Date **Signature of Reporting Person Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----