-----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, AR7kW5BzimNxl+Ut+Wic4FTIJt3FL2SrqRRnN2oH+dc41v7d3sC23NuqbBOSbx0Y Fd0d7A1KyifW7lh57g4Pqw== 0000891618-04-000485.txt : 20040205 0000891618-04-000485.hdr.sgml : 20040205 20040205130151 ACCESSION NUMBER: 0000891618-04-000485 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JDS UNIPHASE CORP /CA/ CENTRAL INDEX KEY: 0000912093 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942579683 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 424B3 SEC ACT: 1933 Act SEC FILE NUMBER: 333-110527 FILM NUMBER: 04569382 BUSINESS ADDRESS: STREET 1: 1768 AUTOMATION PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 4085465000 MAIL ADDRESS: STREET 1: 1768 AUTOMATION PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95131 424B3 1 f96168b3e424b3.htm PROSPECTUS SUPPLEMENT NO. 3 JDS Uniphase Corporation Prospectus Supplement
 

Filed Pursuant to Rule 424(b)(3)
Registration No. 333-110527

Supplement No. 3 Dated February 5, 2004

To Prospectus Dated December 15, 2003
Related to $475,000,000
Of Zero Coupon Senior Convertible Notes
Due November 15, 2010
and
96,153,846 Shares of Common Stock
$.001 Par Value Per Share of
JDS Uniphase Corporation

SEE “RISK FACTORS” BEGINNING ON

PAGE 6 OF THE ACCOMPANYING PROSPECTUS
FOR A DISCUSSION OF CERTAIN FACTORS THAT
SHOULD BE CONSIDERED BY PROSPECTIVE INVESTORS.

      All capitalized terms used but not defined herein shall have the meanings prescribed in the Prospectus dated December 15, 2003, forming a part of the Registration Statement on Form S-3, File No. 333-110527. This Prospectus Supplement is incorporated by reference into the Prospectus and should be read in conjunction with the Prospectus. Any cross references in this Supplement refer to portions of the Prospectus.

      Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this Prospectus is truthful or complete. Any representation to the contrary is a criminal offense.

      The following information completely amends and replaces the tables found on pages 26-30 of the Prospectus under the captions “Selling Security Holders” and “Voting/ Investment Control Table” based upon certain information received, and relied on, by the Company through February 5, 2004 as to the security ownership of the selling securityholders:


 

SELLING SECURITY HOLDERS

                                 
Number of
Aggregate Shares of
Principal Percentage Common
Amount of of Notes Stock Common Stock
Notes at Outstanding Beneficially Registered
Maturity that Prior to Owned Prior Hereby that
Name of Selling Securityholder May be Sold(1) Resale to Conversion May be Sold(2)





Allstate Insurance Company(3)(5)
  $ 1,000,000       *       104,300       202,429  
Argent Classic Convertible Arbitrage Fund (Bermuda) Ltd. 
    6,200,000       1.31 %             1,255,060  
Argent Classic Convertible Arbitrage Fund II, L.P. 
    200,000       *               40,485  
Argent Classic Convertible Arbitrage Fund, L.P. 
    1,200,000       *               242,914  
Bear, Stearns & Co. Inc.(4)
    2,500,000       *               506,072  
Calamos Market Neutral Fund — Calamos Investment Trust
    4,000,000       *               809,716  
Cheyne Fund L.P. 
    3,801,000       *               769,433  
Cheyne Leveraged Fund L.P. 
    2,527,000       *               511,538  
CIP Limited Duration Company
    434,000       *               87,854  
Citigroup Global Markets, Inc.(4)
    11,250,000       2.37 %             2,277,327  
Citigroup Global Markets Ltd.(5)
    38,940,000       8.20 %             7,882,591  
Clinton Riverside Convertible Portfolio Limited
    22,290,000       4.69 %             4,512,145  
Clinton Multistrategy Master Fund, Ltd. 
    12,710,000       2.68 %             2,572,874  
Context Convertible Arbitrage Fund, LP(4)
    900,000       *               182,186  
Context Convertible Arbitrage Offshore, Ltd. 
    2,100,000       *               425,101  
Credit Suisse First Boston LLC(4)
    26,850,000       5.65 %             5,435,222  
Continental Assurance Company on behalf of its separate account E(5)
    200,000       *               40,485  
Continental Casualty Co.(5)
    2,300,000       *               465,587  
CS Alternative Strategy Limited
    238,000       *               48,178  
CSS, L.L.C.
    1,000,000       *               202,429  
DBAG London(5)
    91,050,000       19.71 %             18,431,174  
DKR Saturn Event Driven Holding Fund Ltd. 
    8,500,000       1.79 %             1,720,647  
DKR Saturn Special Situations Holding Fund Ltd
    8,500,000       1.79 %             1,720,647  
FrontPoint Convertible Arbitrage Fund, L.P. 
    2,000,000       *               404,858  
Gaia Offshore Master Fund Ltd. 
    3,100,000       *               627,530  
GLG Global Convertible Fund
    7,100,000       1.49 %             1,437,246  
GLG Global Convertible UCITS Fund
    2,900,000       *               587,044  
GLG Market Neutral Fund
    18,000,000       3.79 %             3,643,724  
Global Bermuda Limited Partnership
    2,000,000       *               404,858  
HFR RV Performance Master Trust
    75,000       *               15,182  
JMG Capital Partners, L.P. 
    5,500,00       1.16 %             1,113,360  
J.P. Morgan Securities, Inc. (4)
    9,000,000       1.89 %             1,821,862  

2


 

                                 
Number of
Aggregate Shares of
Principal Percentage Common
Amount of of Notes Stock Common Stock
Notes at Outstanding Beneficially Registered
Maturity that Prior to Owned Prior Hereby that
Name of Selling Securityholder May be Sold(1) Resale to Conversion May be Sold(2)





Kayne Anderson Capital Income Partners (QP) L.P.(5)
    850,000       *               172,064  
Kayne Anderson Income Partners, L.P.(5)
    75,000       *               15,182  
KBC Convertible Arbitrage Fund(5)
    18,690,000       3.93 %             3,783,400  
KBC Convertible Mac 28 Fund Ltd.(5)
    3,750,000       *               759,109  
KBC Multi Strategy Arbitrage Fund(5)
    11,220,000       2.36 %             2,271,255  
Lyxor/ Gaia II Fund, Ltd. 
    750,000       *               151,821  
Lakeshore International Limited
    8,000,000       1.68 %             1,619,433  
Melody IAM Ltd.(5)
    1,340,000       *               271,255  
Morgan Stanley & Co(4)
    6,250,000       1.32 %             1,265,182  
MSD TCB, L.P.
    23,500,000       4.95 %             4,757,085  
National Bank of Canada(5)
    500,000       *               101,214  
Nisswa Master Fund Ltd. 
    4,000,000       *               809,716  
Pacific Life Insurance Company
    1,000,000       *               202,429  
PRS Convertible Arbitrage Master Fund
    1,550,000       *               313,765  
Radcliffe SPC, Ltd. for and on behalf of the Class A Convertible Crossover Segregated Portfolio
    24,000,000       5.05 %             4,858,299  
S.A.C. Capital Associates, LLC
    12,000,000       2.53 %             2,429,149  
TCW Group, Inc. 
    6,000,000       1.26 %             1,214,574  
UBS AG London Branch(5)
    30,000,000       6.32 %             6,072,874  
UBS O’Connor LLC F/B/O O’Connor Global Convertible Arbitrage Master Ltd.(5)
    5,000,000       1.05 %             1,012,145  
Wachovia Bank National Association(5)
    15,010,000       3.16 %             3,038,461  
Wachovia Capital Markets LLC(4)
    1,600,000       *               323,886  
White River Securities L.L.C.(4)
    975,000       *               197,368  
Xavex-Convertible Arbitrage 8 Fund
    450,000       *               91,093  
Xavex-Convertible Arbitrage 10 Fund
    400,000       *               80,971  


  * Less than 1%

(1)  Assumes none of the holder’s Notes are converted into shares of Common Stock and a cash payment in lieu of any fractional share interests. Assumes offer and sale of all Notes held by the selling securityholder, although the selling securityholder is not obligated to sell any Notes.
 
(2)  Assumes conversion of all of the holder’s Notes at a conversion price of $4.94. However, this conversion price will be subject to satisfaction of certain conditions and adjustment as described under “Description of the Notes — Conversion Rights.” As a result, the amount of Common Stock issuable upon conversion of the Notes may increase or decrease in the future. Assumes offer and sale of all shares of Common Stock issuable upon conversion of the Notes held by the securityholder, although the selling securityholder is not obligated to sell any shares of Common Stock. Also assumes that after the sale of all

3


 

shares of Common Stock issuable upon conversion of the Notes held by a selling securityholder, no selling securityholder will own 1% or more of our outstanding Common Stock.
 
(3)  Includes (1) 73,600 shares of common stock held by Allstate Insurance Company; and (2) 6,500 shares of common stock and 24,200 shares of common stock held by Agents Pension Plan and Allstate Retirement Plan, respectively, each of which are employer sponsored plans maintained for Allstate employees and agents.
 
(4)  This selling securityholder has identified itself as a registered broker-dealer and, accordingly, an underwriter. Please see “Plan of Distribution” for disclosure regarding these selling securityholders.
 
(5)  This selling securityholder has identified itself as an affiliate of a broker-dealer. Please see “Plan of Distribution” for disclosure regarding these selling securityholders.
 
(6)  Information about other selling securityholders will be set forth in prospectus supplements, if required. Assumes that any other holders of Notes, or any future transferees, pledgees, donees or successors of or from any such other holders of Notes, do not beneficially own any Common Stock other than the Common Stock issuable upon conversion of the Notes at the initial conversion rate.

VOTING/INVESTMENT CONTROL TABLE

     
Selling Securityholder Natural person or persons with voting or dispositive power


Allstate Insurance Company
  *
Argent Classic Convertible Arbitrage Fund(Bermuda) Ltd. 
  Henry Cox and Thomas Marshall
Argent Classic Convertible Arbitrage Fund II, L.P. 
  Bruce McMahan, Saul Schwartzman, John Gordon
Argent Classic Convertible Arbitrage Fund, L.P. 
  Bruce McMahan, Saul Schwartzman, John Gordon
Bear, Stearns & Co. Inc. 
  David Liebowitz and Yan Erlikh
Calamos Market Neutral Fund — Calamos Investment Trust
  Nick Calamos
Cheyne Fund L.P. 
  *
Cheyne Leverage Fund L.P. 
  *
CIP Limited Duration Company
  *
Citigroup Global Markets, Inc. 
  *
Citigroup Global Markets Ltd.
  *
Clinton Riverside Convertible Portfolio Limited
  Mike Vacca
Clinton Multistrategy Master Fund, Ltd. 
  Mike Vacca
Context Convertible Arbitrage Fund, LP
  William Fertig and Michael Rosen
Context Convertible Arbitrage Offshore, Ltd. 
  William Fertig and Michael Rosen
Credit Suisse First Boston LLC
  *
Continental Assurance Company on behalf of its separate account E
  *
Continental Casualty Co. 
  *
CS Alternarive Strategy Limited
  *
CSS, L.L.C.
  Michael Carusillo, Clayton A. Struve, and Nicholas Schoewe
DBAG London
  Dan Azzi
DKR Saturn Event Driven Holding Fund Ltd
  *
DKR Saturn Special Situations Holding Fund Ltd
  *
FrontPoint Convertible Arbitrage Fund, L.P. 
  *
Gaia Offshore Master Fund Ltd. 
  *
GLG Global Convertible Fund
  *

4


 

     
Selling Securityholder Natural person or persons with voting or dispositive power


GLG Global Convertible UCITS Fund
  *
GLG Market Neutral Fund
  *
Global Bermuda Limited Partnership
  *
HFR RV Performance Master Trust
  *
JMG Capital Partners, L.P. 
  Jonathan M. Glasser
J.P. Morgan Securities, Inc.
  *
Kayne Anderson Capital Income Partners (QP) L.P. 
  Richard A. Kayne and Kayne Anderson Capital Advisors L.P.
Kayne Anderson Income Partners, L.P. 
  Richard A. Kayne and Kayne Anderson Capital Advisors L.P.
KBC Convertible Arbitrage Fund
  KBC Convertible Arbitrage Fund
KBC Convertible Mac 28 Fund Ltd. 
  KBC Convertible Mac 28 Fund Ltd.
KBC Multi Strategy Arbitrage Fund
  KBC Multi Strategy Arbitrage Fund
Lyxor/Gaia Fund, Ltd. 
  *
Lakeshore International Limited
  *
Melody IAM Ltd. 
  Melody IAM, Ltd.
Morgan Stanley & Co. 
  *
MSD TCB, L.P. 
  Glenn Fuhrman and John Phelan
National Bank of Canada
  William Fertig and Michael Rosen
Nisswa Master Fund Ltd. 
  Brian Taylor, Aaron Yary, Chris Lyche, Nikhil Mankodi, Michael O’Connell, Scott Reinhart, Pat Parthasarathy
Pacific Life Insurance Company
  Larry Card, Elaine Havens,Rex Olson and Simon Lee
PRS Convertible Arbitrage Master Fund
  *
Radcliffe SPC, Ltd. for and on behalf of the Class A Convertible Crossover Segregated Portfolio
  *
S.A.C. Capital Associates, LLC
  S.A.C. Capital Advisors, LLC and S.A.C. Capital Management, LLC
TCW Group, Inc. 
  *
UBS AG London Branch
  *
UBS O’Connor LLC F/B/O O’Connor Global Convertible Arbitrage Master Ltd. 
  *
Wachovia Bank National Association
  *
Wachovia Capital Markets LLC
  Eric Grant
White River Securities L.L.C. 
  David Liebowitz and Yan Erlikh
Xavex — Convertible Arbitrage 8 Fund
  *
Xavex — Convertible Arbitrage 10 Fund
  Bruce McMahan, Saul Schwartzman, John Gordon


The securityholder has informed us that there is no natural person with voting or investment power over the respective Notes.

      Because the selling securityholders may, pursuant to the Prospectus and Prospectus Supplement, offer all or some portion of the Notes they presently hold, no estimate can be given as to the amount of the Notes that will be held by the selling securityholders upon termination of any such sales. In addition, the selling securityholders identified in this Prospectus Supplement or the Prospectus may have sold, transferred or

5


 

otherwise disposed of all or a portion of their Notes since the date on which they provided the information regarding their Notes, and requested registration thereof, in transactions exempt from the registration requirements of the Securities Act. Accordingly, since certain other selling securityholders may have purchased such Notes and also requested registration thereof, the aggregate amount of Notes listed under the caption “Selling Security Holders” in the Prospectus and Prospectus Supplement may exceed the total amount of Notes issued by the Company. See “Plan of Distribution.”

      The Company may from time to time, in accordance with the Registration Rights Agreement, include additional selling securityholders or update the amount of securities held by selling securityholders in future supplements to the Prospectus.

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