-----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, BfAPO0l7DSVeJ8NvjoVnmLgy6HKOMd373wnBeT6PyHfAB9gkRm7WW7B0RWvEFKJr E/uaa4qcH+/efIVjVSsEmA== 0000950149-99-002031.txt : 19991117 0000950149-99-002031.hdr.sgml : 19991117 ACCESSION NUMBER: 0000950149-99-002031 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991103 FILED AS OF DATE: 19991115 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTICAL COATING LABORATORY INC CENTRAL INDEX KEY: 0000074697 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 680164244 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-02537 FILM NUMBER: 99755139 BUSINESS ADDRESS: STREET 1: 2789 NORTHPOINT PKWY CITY: SANTA ROSA STATE: CA ZIP: 95407 BUSINESS PHONE: 7075456440 MAIL ADDRESS: STREET 1: 2789 NORTHPOINT PARKWAY CITY: SANTA ROSA STATE: CA ZIP: 95407-7397 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 FORM 3 1 - -------- ------------------------------ 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, DC 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 JDS Uniphase Corporation Statement Trading Symbol of Original - ---------------------------------------- (Month/Day/Year) Optical Coating Laboratory, Inc. OCLI (Month/Day/Year) (Last) (First) (Middle) 11/3/99 ---------------------------------- 163 Baypointe Parkway ---------------------------- 5. Relationship of Reporting ----------------------- - ---------------------------------------- 3. IRS or Social Security Persons to Issuer 7. Individual or Joint/ (Street) Number of Reporting (Check all applicable) Group Filing (Check San Jose, California 95134 Person (Voluntary) Director X 10% Owner Applicable Line) - -------------------------------------- ----- ----- Form filed by (City) (State) (Zip) ---------------------------- Officer Other ----- One Reporting ----- (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 (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 Par Value No Securities beneficially owned. - ------------------------------------------------------------------------------------------------------------------------------------ See Attachment - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 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). 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 11/15/99 -------------------------- ---------------- Name: Michael C. Phillips Date Title: Senior Vice President, **Intentional misstatements or omissions of facts constitute Federal Criminal Business Development, Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). General Counsel 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 value OMB Number.
3 ATTACHMENT TO FORM 3 In connection with the Agreement and Plan of Reorganization and Merger dated as of November 3, 1999, among JDS Uniphase Corporation ("the Reporting Person"), Vintage Acquisition, Inc. and Optical Coating Laboratory, Inc. ("OCLI"), the Reporting Person and OCLI entered into a Company Stock Option Agreement pursuant to which OCLI granted the Reporting Person an option (the "Option") to purchase up to 2,838,060 shares of Common Stock, par value $0.01 per share, of OCLI (the "Option Shares"), for a purchase price of $177.65 per share (the "Purchase Price"). Prior to the exercise of the Option, the Reporting Person is not entitled to any rights as a shareholder of OCLI as to the Option Shares. The number of Option Shares and the Purchase Price are subject to adjustment in certain circumstances, provided that the aggregate number of shares purchasable by the Reporting Person upon exercise of the Option at the time of its exercise may not exceed 19.9% of the outstanding shares of common stock of OCLI. 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. -----END PRIVACY-ENHANCED MESSAGE-----