FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BOOKHAM, INC. [ BKHM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/08/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock $.01 par value per share | 12/08/2005 | P | 20,000 | A | $5 | 4,538,777 | I(1)(2) | See Footnote(3) | ||
Common Stock | 12/08/2005 | P | 6,296 | A | $5.0104 | 4,545,073 | I(4) | See Footnote(3) | ||
Common Stock | 12/08/2005 | P | 3,620 | A | $5.09 | 4,548,693 | I(5) | See Footnote(3) | ||
Common Stock | 12/08/2005 | P | 8,860 | A | $5.08 | 4,557,553 | I(6) | See Footnote(3) | ||
Common Stock | 12/08/2005 | A | 5,273 | A | $5.0827 | 4,562,826 | I(7) | See Footnote(3) | ||
Common Stock | 12/08/2005 | P | 10,845 | A | $5.15 | 4,573,671 | I(8) | See Footnote(3) | ||
Common Stock | 12/09/2005 | P | 18,295 | A | $5.2403 | 4,591,966 | I(4) | see footnote(3) | ||
Common Stock | 12/09/2005 | P | 3,978 | A | $5.25 | 4,595,944 | I(6) | See Footnote(3) | ||
Common Stock | 12/14/2005 | P | 90,000 | A | $5.17 | 4,685,944 | I(9) | See Footnote(3) | ||
Common Stock | 12/14/2005 | P | 10,000 | A | $5.17 | 4,695,944 | I(2) | See Footnote(3) | ||
Common Stock | 12/14/2005 | P | 1,082 | A | $5.1882 | 4,697,026 | I(8) | See Footnote(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. GLG Partners LP, an English limited partnership, acts as the investment manager to various investment funds (collectively, the "Funds") that directly hold the common stock of Bookham, Inc., and may be deemed, to be the beneficial owner of the Common Stock held by such Funds. GLG Partners Limited, an English limited company, is the general partner of GLG Partners LP. Noam Gottesman, Pierre Lagrange, Philippe Jabre and Emmanuel Roman are each a managing director of GLG Partners Limited. None of GLG Partners LP, GLG Partners Limited, Noam Gottesman, Pierre Lagrange, Philippe Jabre and Emmanuel Roman directly hold any shares of Common Stock of Bookham, Inc. |
2. The shares in this transaction are directly held by GLG Technology Fund. |
3. GLG Partners LP, GLG Partners Limited, Noam Gottesman, Pierre Lagrange, Philippe Jabre and Emmanuel Roman disclaim beneficial ownership of the shares of Common Stock held by the Funds except for their pecuniary interest therein. |
4. The shares in this transaction are directly held by GLG Equities Long-Short CI |
5. The shares in this transaction are directly held by Citi GLG European Hedge Fund Ltd. |
6. The shares in this transaction are directly held by Lyxor/GLG Pan European Equity Fund Ltd. |
7. The shares in this transaction are directly held by Citi GLG North American Fund Ltd. |
8. The shares in this transaction are directly held by Lyxor/GLG North American Alternative Equity Fund Ltd. |
9. The shares in this transaction are directly held by GLG North American Opportunity Fund. |
GLG PARTNERS LP, By: GLG Partners Limited, its General Partner, By: /s/ Noam Gottesman, Managing Director | 12/23/2005 | |
** 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 4 (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. |