-----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, UOEGa/Yx63KICYglg1zqyFkR1I4BF1yl9xA/yuTQddz5nlgGmc1hTAAceNDVrYzs v/jZ+PqxninTBv4mV0UmGA== 0001001277-98-000012.txt : 19980211 0001001277-98-000012.hdr.sgml : 19980211 ACCESSION NUMBER: 0001001277-98-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980131 FILED AS OF DATE: 19980210 SROS: NASD 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: 98526723 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
- ---------- U.S. SECURITIES AND EXCHANGE COMMISSION --------------------------- FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - ---------- --------------------------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO EXPIRES: APRIL 30, 1997 SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 0.5 CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940 --------------------------- INSTRUCTION 1(b). - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person to Issuer (Check all applicable) x Director 10% Owner SMITH, ROBERT O. DIGITAL POWER CORPORATION (AMEX:DPW) ---- ---- - -------------------------------------------------------------------------------------------- x Officer (give Other (Last) (First) (Middle) 3. Statement for 4. If Amendment, ---- title ---- (specify Month/Year Date Of Original below) below) 41920 CHRISTY STREET (Month/Year) - -------------------------------------------- Chief Executive Officer (Street) -------------------------------------- FREMONT CA 94539-3158 1/98 * - -------------------------------------------- 6. Individual or Joint/Group Filing (City) (State) (Zip) (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. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 8) (Instr. 3, 4 and 5) Beneficially Form: direct Owned at End Direct Bene- (Month/ of Month (D) or ficial Day/Year) ------------------------------------------- (Instr. 3 Indirect Owner- Code V Amount (A) or and 4) (I) ship (D) Price (Instr. 4) (Instr. 4) - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly orindirectly. (Over) (Print or Type Responses) SEC 1474 (8-92)
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - -------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ posed of (D) (Month/Day/ Deriv- Day/ (Instr. 3, 4, and 5) Year) ative Year) Security -------------------- Date Expira- -------------------------------------- Exer- tion cisable Date Code V (A) (D) - -------------------------------------------------------------------------------------------------------------------------- Options to Purchase (1) 1/2/98 A V 100,000 1/2/98 1/2/2008 - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na- lying Securities of of Deriv- ship ture (Instr. 3 and 4) Deriv- ative Form of In- ative Securi- of De- direct Secur- ties rivative Bene- ity Bene- Secu- ficial (Instr. ficially rity: Own- 5) Owned Direct ership at End (D) or (Instr. 4) Amount or of Indi- Title Number of Month rect (I) Shares (Instr. 4) (Instr. 4) - -------------------------------------------------------------------------------------------- Common Stock 100,000 Grant 418,400 D - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------- Explanation of Responses: (1) Pursuant to Mr. Smith's employment contract, the exercise price for these options shall be equal to the lower of (a) the closing price of the common stock as of January 2, 1998 ($6-11/16), or (b) the average closing price of the common stock for the first six months of the year. ROBERT O. SMITH 2/6/98 ----------------------------------- ----------- **Intentional misstatements or omissions of facts constitute **Signature of Reporting Person Date Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ROBERT O. SMITH Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, SEE Instruction 6 for procedure. Page 2 SEC 1474 (8-92)
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