SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Etterman Alan R

(Last) (First) (Middle)
C/O JDSU
430 N. MCCARTHY BLVD.

(Street)
MILPITAS CA 95035

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/18/2006
3. Issuer Name and Ticker or Trading Symbol
JDS UNIPHASE CORP /CA/ [ JDSU ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Sr. VP & Chief Info Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 22,805 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Non-qualified stock option (right to buy) 06/22/2005 11/14/2012 Common Stock 300,000 $3.24 D
Non-qualified stock option (right to buy) (1) 05/27/2013 Common Stock 300,000 $1.61 D
Non-qualified stock option (right to buy) (2) 05/16/2014 Common Stock 320,000 $2.85 D
Restricted Stock Unit (3) (9) Common Stock 50,000 $0 D
Restricted Stock Unit (4) (9) Common Stock 35,000 $0 D
Restricted Stock Unit (5) (9) Common Stock 23,334 $0 D
Restricted Stock Unit (6) (9) Common Stock 160,000 $0 D
Restricted Stock Unit (7) (9) Common Stock 40,000 $0 D
Restricted Stock Unit (8) (9) Common Stock 40,000 $0 D
Explanation of Responses:
1. 25% of the share subject to the option vest one year from the grant date. Thereafter, 6.25% of the share subject to the option vest quarterly in 12 quarters. Fully vested on May 27, 2009.
2. 25% of the share subject to the option vest one year from the grant date. Thereafter, 6.25% of the share subject to the option vest quarterly in 12 quarters. Fully vested on May 16, 2010.
3. Each unit converts upon vesting into a right to receive one share of common stock. 25,000 shares vest on November 15, 2006 and 25,000 shares vest on November 15, 2007
4. Each Unit converts upon vesting into a right to receive one share of common stock. The grant vests 100% on 05/27/2010, but subject to earlier vesting upon achievement of certain performance criteria. Should the performance criteria be achieved, the grant vests 1/3rd upon achievement, 1/3rd each year that follows.
5. Each unit converts upon vesting into a right to receive one share of common stock. 11,667 shares will vest on May 27, 2007 and 11 ,667 shares will vest on May 27, 2008.
6. Each unit converts upon vesting into a right to receive one share of common stock. 33% of the units subject to the grant vest on 5/16/2007, 67% of the unit subject to the grant vest on 5/16/2008.
7. Each unit converts upon vesting into a right to receive one share of common stock at the vesting rate of one-third of the grant annually for three years from the date of grant (May 16, 2006).
8. The Restricted Stock Unit adward is earned and vests subject to achievement of certain performance criteria. The number of units earned will be determined on August 2007 Compensation Committee meeting. Should performance criteria be achieved, the earned units vest 1/3rd upon determination date, and 1/3rd each year that follows the determination date. Each earned unit converts upon vesting a right to receive one share of JDSU common stock.
9. The restricted stock unit converts to common stock upon the vest date.
Remarks:
/s/Ying Long, Sr. Stock Administrator, Attorney-in-fact 07/24/2006
** Signature of Reporting Person Date
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 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.