-----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, MBoC6cNGCbdppH3LoA+Ep36PI9yYnsQle1Zz2OaU1rOTiVnP9ZBcIHa85svTOHxc ZbFrzUewCWNgo+whkR1wXQ== 0000912057-02-006303.txt : 20020414 0000912057-02-006303.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-006303 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: THE FURUKAWA ELECTRIC CO LTD FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FURUKAWA ELECTRIC CO LTD CENTRAL INDEX KEY: 0001090454 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 6-1 MARUNOCHI 2-CHOME CITY: CHIYODA-KU TOKYO STATE: M0 ZIP: 1008322 MAIL ADDRESS: STREET 1: 6-1 MARUNOCHI 2-CHOME CITY: CHIYODA-KU TOKYO STATE: M0 ZIP: 1008322 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTICAL COMMUNICATION PRODUCTS INC CENTRAL INDEX KEY: 0001122668 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 954344224 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60839 FILM NUMBER: 02549271 BUSINESS ADDRESS: STREET 1: 20961 KNAPP STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 818701164 MAIL ADDRESS: STREET 1: 2096 KNAPP STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 SC 13G/A 1 a2070986zsc13ga.htm SC 13G/A Prepared by MERRILL CORPORATION

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.   20549

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

Optical Communication Products, Inc.
(Name of Issuer)

Class B Common Stock par value $0.001 per share
(Title of Class of Securities)

68382T-10-1
(CUSIP Number)

Not Applicable

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o  Rule 13d-1(b)

o  Rule 13d-1(c)

ý  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 in 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).

 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 2 of 9 Pages

 

1

 

Names of Reporting Persons.
I.R.S. Identification Nos. of Above Persons (entities only)

 

The Furukawa Electric Co., Ltd.
Furukawa Electric North America, Inc.

 

2

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a) ý

(b) o

 

3

 

SEC Use Only

 

4

 

Citizenship or Place of Organization

The Furukawa Electric Co., Ltd.:  Japan
Furukawa Electric North America, Inc.:  Delaware, USA

 

Number of Shares
Beneficially Owned
By Each

Reporting Person With

5

 

Sole Voting Power = 0

 

6

 

Shared Voting Power = 66,000,000

 

7

 

Sole Dispositive Power = 0

 

8

 

Shared Dispositive Power = 66,000,000

 

9

 

Aggregate Amount Beneficially Owned by Each Reporting Person

66,000,000

 

10

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o


 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 3 of 9 Pages

 

 

11

 

Percent of Class Represented by Amount in Row (9)

61.1%

 

12

 

Type of Reporting Person (See Instructions)

CO

 

 

 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 4 of 9 Pages

 

Item 1.

 

 

(a)

 

Name of Issuer:  Optical Communication Products, Inc.

(b)

 

Address of Issuer’s Principal Executive Offices:

20961 Knapp Street
Chatsworth, California  91311

Item 2.

 

 

(a)

 

Name of Person Filing:

The Furukawa Electric Co., Ltd.
Furukawa Electric North America, Inc.

(b)

 

Address of Principal Business Office or, if none, Residence:

The Furukawa Electric Co., Ltd, 6-1, Marunouchi 2-chome, Chiyoda-ku, Tokyo 100-8322, Japan
Furukawa Electric North America, Inc., 900 Lafayette Street, Suite 506, Santa Clara,
California 95050, USA

(c)

 

Citizenship:

The Furukawa Electric Co., Ltd.:  Japan
Furukawa Electric North America, Inc.:  Delaware, USA

(d)

 

Title of Class of Securities:

Class B common stock

(e)

 

CUSIP Number:

68382T-10-1

Item 3.

 

If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

 

o  Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 5 of 9 Pages

 

(b)

 

o  Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)

 

o  Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).

(d)

 

o  Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e)

 

o  An investment advisor in accordance with §240.13d-1(b)(1)(ii)(E).

(f)

 

o  An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).

(g)

 

o  A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).

(h)

 

o  A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).

(i)

 

o  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 (15 U.S.C. 80a-3).

(j)

 

o  Group, in accordance with §240.13d-1(b)(1)(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: 66,000,000 shares of Class B Common Stock

 

 

The Furukawa Electric Co., Ltd. (“FEC”), through its U.S. subsidiary Furukawa Electric
North America, Inc. (“FENA”), owns 66,000,000 shares of Class B Common Stock.

(b)

 

Percent of class:  61.1%

(c)

 

Number of shares as to which such person has:

 

 

(i)            Sole power to vote or to direct the vote 0       

 



 

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13G
Amendment No. 1

 

Page 6 of 9 Pages

 

 

 

(ii)           Shared power to vote or to direct the vote 66,000,000

 

 

(iii)          Sole power to dispose or to direct the disposition of 0

 

 

(iv)          Shared power to dispose or to direct the disposition of 66,000,000

 

 

Instruction.  For computations regarding securities which represent a right to acquire an underlying security see §240.13d3(d)(1).

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 o.

 

 

Instruction:  Dissolution of a group requires a response to this item.

Item 6.

 

Ownership of More than Five Percent on Behalf of Another Person.

If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified.  A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of an employee benefit plan, pension fund or endowment fund is not required.

Item 7.

 

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary.  If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.

 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 7 of 9 Pages

 

Item 8.

 

Identification and Classification of Members of the Group

If a group has filed this schedule pursuant to §240.13d-1(b)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group.  If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.

Item 9.

 

Notice of Dissolution of Group

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity.  See Item 5.

Item 10.

 

Certification.

(a)

 

The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

(b)

 

The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 8 of 9 Pages

 

 

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.

 

 

 

THE FURUKAWA ELECTRIC CO., LTD.

 

 

 

February 13, 2002

 

(Date)

 

 

 

 

 

/s/ Masao Yoshida

 

(Signature)

 

 

 

 

 

Masao Yoshida, General Manager/Finance

and Accounting Department

 

 

(Name and Title)

 

The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative.  If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference.  The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

 

NOTE:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See §240.13-7 for other parties for whom copies are to be sent.

 

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

 



 

CUSIP No. 68382T-10-6

 

13G
Amendment No. 1

 

Page 9 of 9 Pages

 

 

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.

 

 

 

FURUKAWA ELECTRIC NORTH AMERICA, INC.

 

 

 

February 13, 2002

 

(Date)

 

 

 

 

 

/s/ Masato Sakamoto

 

(Signature)

 

 

 

 

 

Masato Sakamoto, President

 

(Name and Title)

 

The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative.  If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference.  The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

 

NOTE:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See §240.13-7 for other parties for whom copies are to be sent.

 

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

 




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