-----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, BVoh8ZT2foc8tlNzUx2oon+MC8UBaCfx4ndQzposgD6ILghUmuNQRWyttlToid9/ 0bezC3h09f2jwB8KJg4qqQ== 0000950149-00-000089.txt : 20000203 0000950149-00-000089.hdr.sgml : 20000203 ACCESSION NUMBER: 0000950149-00-000089 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000117 FILED AS OF DATE: 20000127 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: E TEK DYNAMICS INC CENTRAL INDEX KEY: 0001044007 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 592337308 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-25103 FILM NUMBER: 514722 BUSINESS ADDRESS: STREET 1: 1865 LUNDY AVE CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 4085465000 MAIL ADDRESS: STREET 1: 1865 LUNDY AVE CITY: SAN JOSE STATE: CA ZIP: 95131 COMPANY DATA: COMPANY CONFORMED NAME: JDS UNIPHASE CORP /CA/ CENTRAL INDEX KEY: 0000912093 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] OWNER IRS NUMBER: 942579683 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 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 3 1 STATEMENT OF BENEFICIAL OWNERSHIP 1 - -------- ------------------------------ FORM 3 OMB APPROVAL - -------- ------------------------------ OMB Number: 3235-0104 Expires: SEPTEMBER 30, 1998 Estimated average burden hours per response ......0.5 ------------------------------ UNITED STATES 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* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date Statement Trading Symbol of Original - ---------------------------------------- (Month/Day/Year) E-TEK Dynamics, Inc. ETEK (Month/Day/Year) (Last) (First) (Middle) 1/17/2000 ---------------------------------- JDS Uniphase Corporation ---------------------------- 5. Relationship of Reporting ----------------------- - ---------------------------------------- 3. IRS or Social Security Person(s) to Issuer 7. Individual or Joint/ (Street) Number of Reporting (Check all applicable) Group Filing (Check 163 Baypointe Parkway Person (Voluntary) Director X 10% Owner Applicable Line) San Jose, California 95134 ----- ----- X Form filed by - -------------------------------------- ---------------------------- Officer Other ----- One Reporting (City) (State) (Zip) ----- (give ----- (specify Person title below) below) Form filed by ----- More than One ---------------------------------- Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial Ownership (Instr. 4) Indirect (I) (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.001 Par Value No Securities beneficially owned. See Attachment - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly *If the form is filed by more than one reporting person, see Instruction 5(b)(v) (Over) SEC 1473 (9-96)
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FORM 3 (continued) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership Expiration Date Derivative Security Exercise Form of (Instr. 5) (Month/Day/ (Instr. 4) Price of Deriv- Year) Deriv- ative ative Security: Security ------------------------------------------------- Direct Date Expira- Amount or (D) or Exercis- tion Title Number Indirect (I) able Date of Shares (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ No Securities beneficially owned See Attachment. - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: See attachment /s/ Michael C. Phillips January 27, 2000 -------------------------- ---------------- Name : Michael C. Phillips Date Title: Senior Vice President, **Intentional misstatements or omissions of facts constitute Federal Criminal Business Development, Violations. General Counsel 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. Page 2 If space is insufficient, See Instruction 6 for procedure. SEC 1473 (9-96) 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.
3 ATTACHMENT TO FORM 3 Pursuant to the terms of an Agreement and Plan of Reorganization and Merger dated as of January 17, 2000 (the "Merger Agreement"), among JDS Uniphase Corporation ("the Reporting Person"), Rainbow Acquisition, Inc. ("Merger Sub") and E-TEK Dynamics, Inc. ("E-TEK"), providing among other things, for the merger of Merger Sub with and into E-TEK, with E-TEK as the surviving corporation and becoming a wholly-owned subsidiary of the Reporting Person in the merger (the "Merger"), the Reporting Person and E-TEK entered into a Company Stock Option Agreement pursuant to which E-TEK granted the Reporting Person an option (the "Option") to purchase, under certain circumstances described therein, 19.9% of the outstanding shares of common stock of E-TEK as of January 17, 2000. Based on the number of shares of common stock of E-TEK outstanding on January 1, 2000 as represented by E-TEK in the Merger Agreement, 19.9% of the outstanding shares of common stock of E-TEK is equal to 13,515,123 shares (the "Option Shares"). The purchase price for the Option Shares is $211.41 per share (the "Purchase Price"). Prior to the exercise of the Option, the Reporting Person is not entitled to any rights as a stockholder of E-TEK as to the Option Shares. The number of Option Shares and the Purchase Price are subject to adjustment in certain circumstances. The Option may only be exercised upon the happening of certain events, none of which has occurred as of the date hereof. Prior to such occurrence, the Reporting Person expressly disclaims beneficial ownership of the Option Shares. In connection with the Merger Agreement each of the persons listed on Exhibit 1 hereto (collectively, the "Stockholders") has, on January 17, 2000, entered into a voting agreement with the Reporting Person (collectively, the "Voting Agreements"). Pursuant to the Voting Agreements, the Stockholders have agreed to vote their shares in favor of approval of the Merger Agreement, the Merger and the approval of the transactions contemplated by the Merger Agreement at every meeting of the stockholders of E-TEK called with respect thereto. As required by each of the Voting Agreements, the Stockholders have executed the form of Proxy To Vote Stock Of E-TEK, attached as Exhibit A to the Voting Agreements, designating Michael C. Phillips and Anthony R. Muller, each an executive officer of the Reporting Person, to vote their shares as to the matters referred to in the Voting Agreements. Pursuant to the Voting Agreements, the Stockholders have also agreed not to transfer, sell, exchange, or pledge or otherwise dispose of or encumber their shares, prior to the earlier of the consummation of the Merger and the date the Merger Agreement is terminated. The consummation of the Merger is conditioned upon, among other things, obtaining certain regulatory approvals and the consent of E-TEK stockholders. As of January 17, 2000, based on the number of shares of common stock of E-TEK represented to be beneficially owned by the respective Stockholders in the Voting Agreements, the Stockholders beneficially owned (including 614,205 shares subject to options which are exercisable within 60 days of January 17, 2000) 17,073,083 shares of the common stock of E-TEK, which, based on the number of shares of common stock of E-TEK outstanding on January 1, 2000 as represented by E-TEK Dynamics, Inc. in the Merger Agreement, amounted to 25.14% of the total outstanding shares of common stock 4 of E-TEK. The Reporting Person may be deemed to be, for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, a beneficial owner of all shares beneficially owned by the Stockholders, provided, however, that the Reporting Person expressly disclaims beneficial ownership of such shares. 5 EXHIBIT 1 List of Persons Signing Voting Agreements David W. Dorman Michael J. Fitzpatrick Joseph W. Goodman Donald J. Listwin Summit Investors III, L.P. Summit Subordinated Debt Fund II, L.P. Summit Ventures IV, L.P. Philip J. Anthony Ming Shih Sanjay Subhedar -----END PRIVACY-ENHANCED MESSAGE-----