-----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, KEGDUUNOqo8R96XCA18MCdJB++TVMdZoEiIM+a++bpTBH/0jpXIk1vYCr3pchGOk yTS0oBAvxa+vwo3RH749zQ== 0000891836-98-000433.txt : 19980622 0000891836-98-000433.hdr.sgml : 19980622 ACCESSION NUMBER: 0000891836-98-000433 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980609 FILED AS OF DATE: 19980619 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: 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: 3 SEC ACT: SEC FILE NUMBER: 000-22874 FILM NUMBER: 98650788 BUSINESS ADDRESS: STREET 1: 163 BAYPOINTE PKWY CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4084341800 MAIL ADDRESS: STREET 1: 163 BAYPOINTE PARKWAY CITY: SAN JOSE STATE: CA ZIP: 95134 COMPANY DATA: COMPANY CONFORMED NAME: PHILIPS ELECTRONICS N V CENTRAL INDEX KEY: 0000313216 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] DIRECTOR STATE OF INCORPORATION: P7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: GROENEVOUDSEWEG 1 STREET 2: 5621 BA EINDHOVEN CITY: THE NETHERLANDS STATE: P7 BUSINESS PHONE: 0113140791 MAIL ADDRESS: STREET 1: SULLIVAN & CROMWELL 125 BROAD ST STREET 2: C/O W LOEBER LANDAU CITY: NEW YORK STATE: NY ZIP: 10004 3 1 FORM 3 :----------: :---------------------------: : FORM 3 : : OMB APPROVAL : :----------: :---------------------------: :OMB NUMBER 3235-0104: :EXPIRES: September 30, 1998: :ESTIMATED AVERAGE BURDEN : :HOURS PER RESPONSE.... 0.5 : :---------------------------: U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* Koninklijke Philips Electronics N.V. ----------------------------------------------------------------------------- (Last) (First) (Middle) P.O. Box 218 ----------------------------------------------------------------------------- (Street) 5600 MD Eindhoven ----------------------------------------------------------------------------- (City) (State) (Zip) The Netherlands ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 6/9/98 ----------------------------------------------------------------------------- ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ----------------------------------------------------------------------------- ================================================================================ 4. Issuer Name and Ticker or Trading Symbol Uniphase Corporation ----------------------------------------------------------------------------- ================================================================================ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) __X_1/__ Director ____ 10% Owner _____ Officer (give title below) ____ Other (specify below) ----------------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Day/Year) N/A ----------------------------------------------------------------------------- ================================================================================ 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 BENEFICIALLY OWNED
1. Title of Security 2. Amount of Securities 3. Ownership 7. Nature of Indirect Beneficial Ownership (Instr. 4) Beneficially Owned Form: Direct (Instr. 5) (Instr. 4) (D) or Indirect (I) (Instr. 5) - ------------------- ----------------------- ------------------ ------------------------------------------- Common Stock 3,259,646 D - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 5(b)(v). 1473 (7-96)
FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative Security (Instr. 4) --------------------------------------------------------------------------- ================================================================================ 2. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable Expiration Date --------------------------------------------------------------------------- ================================================================================ 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) Title Amount or Number of Shares --------------------------------------------------------------------------- ================================================================================ 4. Conversion or Exercise Price of Derivative Security --------------------------------------------------------------------------- ================================================================================ 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) --------------------------------------------------------------------------- ================================================================================ 6. Nature of Indirect Beneficial Ownership (Instr. 5) --------------------------------------------------------------------------- ================================================================================ Explanation of Responses: 1/ Koninklijke Philips Electronics N.V. ("Philips") is filing this Form 3 as a "director" because Philips understands that as a shareholder of Uniphase Corporation ("Uniphase") it may be deemed a "deputized director" of Uniphase as a result of the service of Mr. Willem Haverkamp, an employee of Philips, on the board of directors of Uniphase. Notwithstanding the filing of this Form 3, Philips expressly disclaims that it is or should be deemed a "deputized director" of Uniphase for purposes of Sections 16 or for any other purpose. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). By: /s/ A. Westerlaken June 19, 1998 ------------------------- ------------- ** A. Westerlaken, Date Corporate Secretary, on behalf of Koninklijke Philips Electronics N.V. Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, SEE Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----