-----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, FWG6FMnmubapIqyfRtHTZBJiFpDESVBAhL9FqF2Z32XqFxL4mcKNrDVC9glFDQw8 dhJXydl0arTPhHGwB+Ot7Q== 0000912057-00-000147.txt : 20000105 0000912057-00-000147.hdr.sgml : 20000105 ACCESSION NUMBER: 0000912057-00-000147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991201 FILED AS OF DATE: 20000104 SUBJECT COMPANY: 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: 4 SEC ACT: SEC FILE NUMBER: 000-22874 FILM NUMBER: 500820 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: FURUKAWA ELECTRIC CO LTD CENTRAL INDEX KEY: 0001090454 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 6-1 MARUNOCHI 2-CHOME CITY: CHIYODA-KU TOKYO STATE: M0 ZIP: 1008322 MAIL ADDRESS: STREET 1: 6-1 MARUNOCHI 2-CHOME CITY: CHIYODA-KU TOKYO STATE: M0 ZIP: 1008322 4 1 FORM 4
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 4 WASHINGTON, D.C. 20549 - -------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP LONGER SUBJECT TO SECTION 16. FORM 4 OR FILED PURSUANT TO SECTION 16(a) OF THE SECURITIES EXCHANGE ACT OF 1934, FORM 5 OBLIGATIONS MAY SECTION 17(a) OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 OR CONTINUE. SEE SECTION 30(f) OF THE INVESTMENT COMPANY ACT OF 1940 INSTRUCTION 1(b). (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. NAME AND ADDRESS OF REPORTING PERSON* 2. ISSUER NAME AND TICKER OR TRADING SYMBOL 6. RELATIONSHIP OF REPORTING PERSON(S) TO ISSUER (CHECK ALL APPLICABLE) The Furukawa Electric Co., Ltd.; JDS Uniphase Corporation (NasdaqNM:JDSU) Director X 10% Owner FEJ Holding Inc.; FEJ Sales, Inc. ---- ---- - --------------------------------------------------------------------------------------------- Officer (give Other (LAST) (FIRST) (MIDDLE) 3. IRS OR SOCIAL SECURITY 4. STATEMENT FOR ---- title ---- (specify NUMBER OF REPORTING MONTH/YEAR below) below PERSON, IF AN ENTITY (VOLUNTARY) ----------------- ------------------ 6-1, Marunochi 2-Chome December 1999 - -------------------------------------------- --------------------- 7. INDIVIDUAL OR JOINT/GROUP FILING (STREET) 5. IF AMENDMENT, (CHECK APPLICABLE LINE) DATE OF ORIGINAL ___FORM FILED BY ONE REPORTING PERSON Chiyoda-ku, Tokyo 100-8322 Japan (MONTH/YEAR) _X_FORM FILED BY MORE THAN ONE REPORTING PERSON - ------------------------------------------------------------------------------------------------------------------------------------ (CITY) (STATE) (ZIP) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. TITLE OF SECURITY 2. TRANS- 3. TRANS- 4. SECURITIES ACQUIRED (A) 5. AMOUNT OF 6. OWNER- 7. NATURE (INSTR. 3) ACTION ACTION OR DISPOSED OF (D) SECURITIES SHIP OF IN- DATE CODE (INSTR. 3, 4 AND 5) BENEFICIALLY FORM: DIRECT (INSTR. 8) OWNED AT DIRECT BENE- (MONTH/ END OF (D) OR FICIAL DAY/ ------------------------------------------- MONTH INDIRECT OWNER- YEAR) (A) or (I) SHIP CODE V AMOUNT (D) PRICE (INSTR. 3 (INSTR. 4) (INSTR. 4) AND 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 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 4(b)(v). SEC 1474 (7-97) 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 CONTROL NUMBER.
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------ 1. TITLE OF DERIVATIVE SECURITY 2. CONVER- 3. TRANS- 4. TRANSAC- 5. NUMBER OF DERIV- 6. DATE EXER- (INSTR. 3) SION OR ACTION TION CODE ATIVE SECURITIES AC- CISABLE AND EX- EXERCISE DATE (INSTR. 8) QUIRED (A) OR DIS- PIRATION DATE PRICE OF (MONTH/ POSED OF (D) (MONTH/DAY/ DERIV- DAY/ (INSTR. 3, 4, AND 5) YEAR) ATIVE YEAR) SECURITY -------------------- DATE EXPIRA- -------------------------------------- EXER- TION CISABLE DATE CODE V (A) (D) - ------------------------------------------------------------------------------------------------------------------------ Exchangable Shares (1) 0 12/01/99 S 1,815,000 Anytime, Anytime, subject subject to to terms terms and conditions conditions (2) (2) - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. TITLE AND AMOUNT OF UNDER- 8. PRICE 9. NUMBER 10. OWNER- 11. NATURE LYING SECURITIES OF OF DERIV- SHIP OF IN- (INSTR. 3 AND 4) DERIV- ATIVE FORM DIRECT ATIVE SECURI- OF DE- BENE- SECUR- TIES RIVATIVE FICIAL ITY BENE- SECU- OWN- (INSTR. FICIALLY RITY: ERSHIP 5) OWNED DIRECT (INSTR. 4) AT END (D) OR AMOUNT OR OF INDI- TITLE NUMBER OF MONTH RECT (I) SHARES (INSTR. 4) (INSTR. 4) - ------------------------------------------------------------------------------------------ Common 1,815,000 $218.50 36,183,520 I,D (3) (3) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (1) The "Exchangable Shares" represent exchangable shares in the capital of Exchangeco (a wholly-owned subsidiary of JDS Uniphase Corporation), which are intended to be the economic equivalent to the JDS Uniphase Common Shares. The Exchangeable Shares are exchangable at any time at the option of the holder on a one-for-one basis, for JDS Uniphase Corporation Common Shares. Holders of the Exchangeable Shares are able to exercise essentially the same voting rights with respect to Uniphase as they would have if they had exchanged their Exchangeable Shares for JDS Uniphase Corporation Common Shares. (2) The Exchangeable Shares may be exercised at any time, subject to certain restrictions (including those relating to the transfer of 10% or more of the total voting power of the then outstanding Exchangeable Shares) and conditions (including redemption rights). (3) Direct as to FEJ Holding, Inc.("FEJH") and FEJ Sales, Inc. ("FEJS"); Indirect as to The Furukawa Electric Co., Ltd. ("Furukawa"). FEJH and FEJS, which are record owners of the securities herein, are wholly-owned subsidiaries of Furukawa. /s/ OSAMU SATO December 10, 1999 ------------------------------- ----------------- **INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE **SIGNATURE OF REPORTING PERSON DATE FEDERAL CRIMINAL VIOLATIONS. SEE 18 U.S.C. 1001 AND 15 U.S.C. 78ff(a). NOTE: FILE THREE COPIES OF THIS FORM, ONE OF WHICH MUST BE MANUALLY SIGNED. IF SPACE 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 1474 (7-97)
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