-----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, Esdn4egOq71CPflWDDvL2CQZFmH/T+I5Q8FoUmuT+SfCHYUq9PKLC4ouWEet1yER 63M0XvIpBZ9zeArg1ssE5Q== 0000317771-97-000084.txt : 19971111 0000317771-97-000084.hdr.sgml : 19971111 ACCESSION NUMBER: 0000317771-97-000084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971107 FILED AS OF DATE: 19971110 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TELLABS INC CENTRAL INDEX KEY: 0000317771 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 363831568 STATE OF INCORPORATION: DE FISCAL YEAR END: 1227 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-09692 FILM NUMBER: 97711998 BUSINESS ADDRESS: STREET 1: 4951 INDIANA AVE CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 6303788800 MAIL ADDRESS: STREET 1: 4951 INDIANA AVE CITY: LISLE STATE: IL ZIP: 60532 COMPANY DATA: COMPANY CONFORMED NAME: BIRCK MICHAEL J CENTRAL INDEX KEY: 0001012910 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: TELLABS OPERATIONS INC STREET 2: 4951 INDIANA AVENUE CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 7089694550 4 1 FORM 4 - 10/97 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Birck, Michael J. c/o TELLABS OPERATIONS, INC. 4951 Indiana Avenue Lisle, IL 60532 USA 2. Issuer Name and Ticker or Trading Symbol Tellabs, Inc. (TLAB) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 10/97 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director (X) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President and Chief Executive Officer 7. 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 Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |10/04/|G |V|1,767,500 (1) |D | | |I |(2) | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |10/07/|G |V|5,500 (4) |D | | |I |(2) | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |10/07/|J |V|5,500,000 (5) |D | |11,985,300 |I |(2) | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |6,747,344 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |584,000 |I |By Spouse | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |366.742 |I |(3) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Represents a gift by the reporting person of general and limited partnership interests in Oak Street Investments, L.P. to his spouse in the aggregate amount of 1,400 general partnership units (representing 17,500 shares of Tellabs stock) and 140,000 limited partnership units (representing 1,750,000 shares of Tellabs stock). (2) Held by Oak Street Investments, L.P. (3) These shares are held for the benefit of the reporting person in the Tellabs Advantage Plan. (4) Represents gifts by the reporting person and his spouse of limited partnership interests in Oak Street Investments, L.P. to six (6) individuals in the aggregate amount of 440 limited partnership units (representing 5,500 shares of Tellabs stock). (5) Represents gifts by the reporting person of limited partnership interests in Oak Street Investments, L.P. to the trustee of four (4) Qualified Annuity Interest Trusts in the aggregate amount of 440,000 limited partnership units (representing 5,500,000 shares of Tellabs stock). SIGNATURE OF REPORTING PERSON /s/ Michael J. Birck DATE November 10, 1997 -----END PRIVACY-ENHANCED MESSAGE-----