-----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, SRiKPFSSEZcgyp7wwPZ63MT8oX1HT8aWhDPBa2pXI9GlPSnOOybJ359dpkxnEpYy W1EX7TSNhcBuwbk0ofHdTQ== 0001095811-01-001405.txt : 20010228 0001095811-01-001405.hdr.sgml : 20010228 ACCESSION NUMBER: 0001095811-01-001405 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 DATE AS OF CHANGE: 20010226 GROUP MEMBERS: CPY & ASSOCIATES GROUP MEMBERS: YEH JAMES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE FIBER OPTIC PRODUCTS INC CENTRAL INDEX KEY: 0001122342 STANDARD INDUSTRIAL CLASSIFICATION: 3674 IRS NUMBER: 770417039 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60751 FILM NUMBER: 1546872 BUSINESS ADDRESS: STREET 1: 735 NORTH PASTORIA AVE. CITY: SUNNYVALE STATE: CA ZIP: 94085 BUSINESS PHONE: 408-736-69 MAIL ADDRESS: STREET 1: 735 NORTH PASTORIA AVE. CITY: SUNNYVALE STATE: CA ZIP: 94085 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE FIBER OPTICS PRODUCTS INC DATE OF NAME CHANGE: 20000822 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: YEH JAMES CENTRAL INDEX KEY: 0001135030 STANDARD INDUSTRIAL CLASSIFICATION: FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 45056 COUGAR CIRCLE CITY: FREMONT STATE: CA ZIP: 94539 BUSINESS PHONE: 5103781618 MAIL ADDRESS: STREET 1: 45056 COUGAR CIRCLE CITY: FREMONT STATE: CA ZIP: 94539 SC 13G 1 f69565jysc13g.txt SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___) ALLIANCE FIBER OPTIC PRODUCTS, INC. ----------------------------------- (Name of Issuer) Common Stock, par value $0.001 ------------------------------ (Title of Class of Securities) 018680 10 8 ------------- (CUSIP Number) December 31, 2000 ----------------- (Date of Event which Requires Filing of Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). PAGE 1 of 7 2 - - -------------------------------------------------------------------------------- CUSIP No. 018680 10 8 - - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: James Yeh I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - - -------------------------------------------------------------------------------- 3 SEC Use Only - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 2,980,000 shares ----------------------------------------------------- NUMBER OF SHARES 6 SHARED VOTING POWER 25,000 shares BENEFICIALLY OWNED BY EACH REPORTING ----------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 2,980,000 shares ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 25,000 shares - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,005,000 shares - - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.8% - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - - -------------------------------------------------------------------------------- PAGE 2 of 7 3 - - -------------------------------------------------------------------------------- CUSIP No. 018680 10 8 - - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: CPY & Associates I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: 94-3351373 - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - - -------------------------------------------------------------------------------- 3 SEC Use Only - - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 2,000,000 shares ----------------------------------------------------- NUMBER OF SHARES 6 SHARED VOTING POWER None BENEFICIALLY OWNED BY EACH REPORTING ----------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 2,000,000 shares ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER None - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,000,000 shares - - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.8% - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - - -------------------------------------------------------------------------------- PAGE 3 of 7 4 ITEM 1(a) NAME OF ISSUER: Alliance Fiber Optic Products, Inc. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 735 North Pastoria Avenue, Sunnyvale, California 94085 ITEM 2(a) NAME OF PERSON FILING: (i) James Yeh; (ii) CPY & Associates ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 45036 Cougar Circle, Fremont, California 94359 ITEM 2(c) CITIZENSHIP: (i) United States; (ii) California ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, $0.001 par value ITEM 2(e) CUSIP NUMBER: 018680 10 8 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(b) OR 13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a) (6) of the Act (c) [ ] Insurance Company as defined in section 3(a) (19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser in accordance with Section 240.13d-1(b)(1)(ii)(E) (f) [ ] An employee benefit plan or an endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent holding company or control person in accordance with Section 240.13d-1(b)(ii)(G) (h) [ ] A saving association as defined in Section 3(b) of the Federal Deposit Insurance Act (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (j) [ ] Group, in accordance with Section 240.13d-1(b)(ii)(J) ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 3,005,000 shares of Common Stock beneficially owned by James Yeh, of which 2,000,000 shares are held by CPY & Associates. Mr Yeh disclaims beneficial PAGE 4 of 7 5 ownership as to 980,000 of the 3,005,000 shares, which are held by four entities under the common control of Mr. Yeh, and as to the 2,000,000 shares held by CPY & Associates, except to the extent of his pecuniary interest therein. (b) Percent of class: James Yeh and CPY & Associates beneficially own 8.8% and 5.8%, respectively. The calculation of percentage of beneficial ownership was derived from the Issuer's prospectus filed with the Commission pursuant to Rule 424(b)(4) on November 21, 2000, in which the Issuer stated that the number of shares of Common Stock outstanding as of November 21, 2000 was 34,206,667. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 2,980,000 shares (ii) Shared power to vote or to direct the vote: 25,000 shares (iii) Sole power to dispose or to direct the disposition of: 2,980,000 shares (iv) Shared power to dispose or to direct the disposition of: 25,000 shares ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON James Yeh beneficially owns 3,005,000 shares, of which 2,000,000 shares are held by CPY & Associates. In addition, 980,000 of the 3,005,000 shares are held in the name of four entities under the common control of Mr. Yeh and 25,000 of the 3,005,000 shares are held in the name of Mr Yeh's wife. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATIONS Not applicable. PAGE 5 of 7 6 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 13, 2001. /s/ James Yeh ----------------------------------------- James Yeh CPY & ASSOCIATES By: /s/ James Yeh ------------------------------------- James Yeh Manager PAGE 6 of 7 7 EXHIBIT A AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing, on behalf of each of them, of a Statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Alliance Fiber Optic Products, Inc. Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of the is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. Date: February 13, 2001 /s/ James Yeh ----------------------------------------- James Yeh CPY & ASSOCIATES By: /s/ James Yeh ------------------------------------- James Yeh Manager PAGE 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----