-----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, LZUoM2acKFrWboOabXyttIwK8SDROS1fUOZb71o8HpbpxfMBHY3F/1WHGAzfS+MW G3625sO1jlrVv2Voz49jAg== 0000317771-97-000029.txt : 19970222 0000317771-97-000029.hdr.sgml : 19970222 ACCESSION NUMBER: 0000317771-97-000029 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970214 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: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-33102 FILM NUMBER: 97536262 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 FILED BY: 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: SC 13G 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 SC 13G 1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -------------------------------------------------------------- Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) Tellabs, Inc. -------------------------------------------------------------- (Name of Issuer) Common Stock -------------------------------------------------------------- (Title of Class of Securities) 879664100 -------------------------------------------------------------- (CUSIP Number) 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 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). (Continued on following pages) 2 CUSIP NO. 879664100 13G 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Michael J. Birck, ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ( ) (b) ( ) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER NUMBER 6,827,711 OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH 6 SHARED VOTING POWER 13,084,000 7 SOLE DISPOSITIVE POWER 6,827,344 8 SHARED DISPOSITIVE POWER 13,084,367 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,327,711 3 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (X) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.76% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 879664100 13G 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Katherine R. Birck, ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ( ) (b) ( ) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 4 5 SOLE VOTING POWER NUMBER 584,000 OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH 6 SHARED VOTING POWER 19,327,711 7 SOLE DISPOSITIVE POWER 584,000 8 SHARED DISPOSITIVE POWER 19,327,711 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 584,00 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (X) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.33% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 CUSIP NO. 879664100 13G 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Oak Street Investments, L.P., a Delaware limited partnership 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ( ) (b) ( ) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION A Delaware limited partnership 5 SOLE VOTING POWER NUMBER 0 OF SHARES BENEFICIALLY OWNED BY REPORTING PERSON WITH 6 SHARED VOTING POWER 12,500,000 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 12,500,000 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 12,500,000 6 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* ( ) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.96% 12 TYPE OF REPORTING PERSON* PN *SEE INSTRUCTIONS BEFORE FILLING OUT! 7 Item 1(a) Name of Issuer: Tellabs, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 4951 Indiana Avenue Lisle, Illinois 60532 Item 2(a)-(c) Name, Principal Business Address and Citizenship of Persons Filing: This statement is being filed by Michael J. Birck, Mr. Birck's principal place of business is 4951 Indiana Avenue, Lisle, IL 60532. Mr. Birck is a United States citizen. Katherine R. Birck is the spouse of Michael J. Birck. Mrs. Birck's residence is 744 South Oak Street, Hinsdale, Illinois 60521. Mrs. Birck is a United States citizen. Oak Street Investments, L.P. is an Illinois limited partnership whose principal place of business is 744 South Oak Street, Hinsdale, Illinois 60521. Mr. and Mrs. Birck are both general partners of Oak Street Investments, L.P. 8 With respect to Mr. Birck, this statement relates only to Mr. Birck's indirect ownership of shares of Common Stock of Tellabs, Inc. owned directly by Oak Street Investments, L.P. and the Tellabs Retirement Plan, and certain shares of Common Stock of Tellabs, Inc. owned directly by Mr. Birck. Mr. Birck disclaims beneficial ownership of 584,000 shares owned by his spouse, Katherine R. Birck. With respect to Mrs. Birck, this statement relates only to 584,000 shares of Common Stock of Tellabs, Inc. owned directly by Mrs. Birck. Mrs. Birck disclaims beneficial ownership of shares of Common Stock of Tellabs, Inc. owned directly by Mr. Birck, the Tellabs Retirement Plan and Oak Street Investments, L.P. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 879664100 Item 3. Not Applicable. 9 Item 4. Ownership. A. Michael J. Birck ------------ (a) Amount Beneficially Owned: 19,327,711 Shares (excludes 584,000 shares of which the reporting disclaims beneficial ownership) (1) (b) Percent of Class: 10.76% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 6,827,711 (includes 367 shares held by the Tellabs Retirement Plan on behalf of Mr. Birck and excludes 12,500,000 shares held by Oak Street Investments, L.P. and 584,000 shares held by Mrs. Birck) (1) (ii) shared power to vote or to direct the vote: 13,084,000 (1) (includes 12,500,000 shares held by Oak Street Investments, L.P. and 584,000 shares held by Mrs. Birck) (iii) sole power to dispose or to direct the disposition of: 6,827,344 (excludes 367 shares held by the Tellabs Retirement Plan, 12,500,000 shares held by Oak Street Investments, L.P. and 584,000 shares held by Mrs. Birck) (iv) shared power to dispose or to direct the disposition of: 13,084,367 (1) (includes 367 shares held by the Tellabs Retirement Plan, 12,500,000 shares held by Oak Street Investments, L.P. and 584,000 shares held by Mrs. Birck) 10 B. Katherine R. Birck --------------- (a) Amount Beneficially Owned: 584,000 Shares (excludes 13,327,711 shares of which the reporting person disclaims beneficial ownership)(1) (b) Percent of Class: .33% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 584,000 (excludes 12,500,000 shares held by Oak Street Investments, L.P. and 6,827,711 shares held by or on behalf of Mr. Birck) (ii) shared power to vote or to direct the vote: 19,327,711(1) (includes 12,500,000 shares held by Oak Street Investments, L.P. and 6,827,711 shares held by or on behalf of Mr. Birck) (iii) sole power to dispose or to direct the disposition of: 584,000 (excludes 12,500,000 shares held by Oak Street Investments, L.P. and 6,827,711 shares held by or on behalf of Mr. Birck) (iv) shared power to dispose or to direct the disposition of: 19,327,711(1) (includes 12,500,000 shares held by Oak Street Investments, L.P. and 6,827,711 shares held by or on behalf of Mr. Birck) 11 B. Oak Street Investments, L.P. ---------------------------- (a) Amount Beneficially Owned: 12,500,000 Shares (b) Percent of Class: 6.96% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 12,500,000 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 12,500,000 (1) The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 13(d) or 13(g) of the Act, the beneficial owner of these securities. Item 5. Ownership of Five Percent or Less of a Class. Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. 12 Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. Not Applicable. 13 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. Dated: February 14, 1997 MICHAEL J. BIRCK s/Michael J. Birck --------------------------------------------- KATHERINE R. BIRCK s/Katherine R. Birck --------------------------------------------- OAK STREET INVESTMENTS, L.P. By: s/Michael J. Birck, General Partner ---------------------------------------- 14 EXHIBIT INDEX ------------- Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 15 EX-1 2 15 EXHIBIT A --------- Agreement of Joint Filing ------------------------- The undersigned hereby agree that they are filing jointly pursuant to Rule 13d-1 of the Act the statement dated February 14, 1997, containing the information required by Schedule 13G, for the 6,827,711 Shares of the Common Stock of Tellabs, Inc. held by or on behalf of Michael J. Birck, the 584,000 shares of the Common Stock of Tellabs, Inc. held by Katherine R. Birck and the 12,500,000 shares of the Common Stock of Tellabs, Inc. held by Oak Street Investments, L.P. Dated: February 14, 1997 MICHAEL J. BIRCK s/Michael J. Birck --------------------------------------------- KATHERINE R. BIRCK s/Katherine R. Birck --------------------------------------------- OAK STREET INVESTMENTS, L.P. By: s/Michael J. Birck, General Partner ---------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----