-----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, Hk17/1vYMGXgZkThkop4SRSUnTVjuHpXFoPF+ApsBtEMwpxOTPheBnA5Olyj78Wd piDjJYNRpWntlLoKU0gBkg== 0000317771-97-000024.txt : 19970221 0000317771-97-000024.hdr.sgml : 19970221 ACCESSION NUMBER: 0000317771-97-000024 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961227 FILED AS OF DATE: 19970210 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: 0101 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-09692 FILM NUMBER: 97521701 BUSINESS ADDRESS: STREET 1: 4951 INDIANA AVE CITY: LISLE STATE: IL ZIP: 60532 BUSINESS PHONE: 7089698800 MAIL ADDRESS: STREET 1: 4951 INDIANA AVE CITY: LISLE STATE: IL ZIP: 60532 COMPANY DATA: COMPANY CONFORMED NAME: GRUENWALD JOHN THOMAS CENTRAL INDEX KEY: 0001020432 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: TELLABS OPERATIONS INC STREET 2: 4951 INDIANA AVENUE CITY: LISLE STATE: IL ZIP: 60532 5 1 FORM 5 - 12/27/96 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person Gruenwald, J. Thomas 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 12/27/96 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President, Strategic Operations, Tellabs Operations, Inc. (Subsidiary of Issuer) 7. Individual or Joint/Group Reporting (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 | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |(1) |T |711.698 |A |(1) |5,356.692 (2) |I |(1) | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | |38,020 (2) |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice 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 | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Options (|$ 28.625|7/22/|J (3|20,000 |A |(4) | |Common Stock|20,000 | | | | | Rights to Buy) |0 |96 |) | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|$ 1.375| | | | | | |Common Stock|18,000 | | | | | Rights to Buy) (5) |0 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|$ 1.531| | | | | | |Common Stock|30,000 | | | | | Rights to Buy) (5) |2 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|$ 5.000| | | | | | |Common Stock|32,000 | | | | | Rights to Buy) (5) |0 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Options (|$ 16.750| | | | | | |Common Stock|10,000 | |110,000 (2)|D | | Rights to Buy) (5) |0 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) These shares are held for the benefit of the reporting person in the Tellabs Advantage Plan. 711.698 shares were acquired during the fiscal year at prices ranging from $15.25 (post-split) to $45.25 (post-split). The information reported herein is based on a plan statement as of December 27, 1996. (2) These holdings have been modified to reflect the effect of the 2-for-1 stock split effective November 15, 1996. (3) 10,000 options at a per exercise price of $57.250 were originally granted under a Tellabs, Inc. Employee Stock Option Plan in a transaction exempt under old Rule 16b-3. The stock options have been adjusted to reflect the 2-for-1 stock split effective November 15, 1996. (4) All options become exercisable in cumulative annual installments of 25% on each of the 1st, 2nd, 3rd & 4th anniversaries of the grant date. (5) These stock options were previously reported as options for 9,000, 15,000, 16,000 and 5,000 shares respectively, at per share exercise prices of $2.7500, $3.0625, $10.0000 and $33.5000, respectively, each as adjusted for all prior stock splits and other transactions and have been further adjusted to reflect the 2-for-1 stock split effective November 15, 1996. SIGNATURE OF REPORTING PERSON /s/ J. Thomas Gruenwald -----END PRIVACY-ENHANCED MESSAGE-----