S-8 1 ds8.htm FORM S-8 Form S-8

As filed with the Securities and Exchange Commission on December 7, 2006

Registration No. 333-            


UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 


JDS UNIPHASE CORPORATION

(Exact name of registrant as specified in its charter)

 


 

Delaware   94-2579683

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

430 North McCarthy Boulevard

Milpitas, California 95035

Internet address: www.jdsu.com

(Address of registrant’s principal executive offices)

 


Amended and Restated 2003 Equity Incentive Plan

(Full title of the plan)

 


Kevin J. Kennedy

Chief Executive Officer

JDS Uniphase Corporation

430 North McCarthy Boulevard

Milpitas, California 95035

(408) 546-5000

(Name, address and telephone number, including area code, of agent for service)

 


With a copy sent to:

Justin L. Bastian Esq.

Morrison & Foerster LLP

755 Page Mill Road

Palo Alto, California 94304

(650) 813-5641

 


CALCULATION OF REGISTRATION FEE

 


Title of Securities to be Registered    Amount to be
Registered(1)
   Proposed Maximum
Offering Price
per Share(2)
   Proposed Maximum
Aggregate Offering
Price(2)
   Amount of
Registration Fee

Common Stock, $0.001 par value

   12,500,000    $ 18.06    $ 225,750,000    $ 24,160

(1) Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of Common Stock which become issuable under the JDS Uniphase Corporation Amended and Restated 2003 Equity Incentive Plan (the “Plan”) by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the Registrant’s receipt of consideration which results in an increase in the number of the outstanding shares of Registrant’s Common Stock.
(2) Pursuant to Rule 457(h) because the price of the shares to be issued pursuant to the Plan is not currently determinable, the maximum offering price, per share and in the aggregate, and the registration fee were calculated based on the average of the high and low sale prices of Registrant’s Common Stock as reported on The Nasdaq Global Select Market on December 4, 2006.

 



Part I

INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS

The documents containing the information specified in Part I of Form S-8 (plan information and registrant information and employee plan annual information) will be sent or given to employees as specified by Securities and Exchange Commission Rule 428(b)(1). Such documents need not be filed with the Securities and Exchange Commission either as part of this Registration Statement or as prospectuses or prospectus supplements pursuant to Rule 424. These documents and the documents incorporated by reference in this Registration Statement pursuant to Item 3 of Form S-8 (Part II hereof), taken together, constitute a prospectus that meets the requirements of Section 10(a) of the Securities Act of 1933, as amended.

Part II

INFORMATION REQUIRED IN THE REGISTRATION STATEMENT

Item 3. Incorporation of Documents by Reference

There are hereby incorporated by reference in this Registration Statement the following documents and information previously filed with the Securities and Exchange Commission (the “Commission”) by JDS Uniphase Corporation (the “Registrant”):

 

  (a) The Registrant’s Annual Report on Form 10-K for the fiscal year ended June 30, 2006, filed with the Commission on September 14, 2006, as amended by a Form 10-K/A, filed with the Commission on September 18, 2006.

 

  (b) The Registrant’s Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2006, filed with the Commission on November 9, 2006.

 

  (c) The Registrant’s Current Reports on Form 8-K filed July 6, 2006, August 22, 2006, September 21, 2006, October 18, 2006, November 7, 2006 and November 20, 2006.

 

  (d) The description of Registrant’s Common Stock contained in Registrant’s Registration Statement on Form 8-A dated November 15, 1993, and any other amendment or report filed for the purpose of updating such description.

 

  (e) The description of Registrant’s preferred share purchase rights contained in Amendment No. 5 to Registrant’s Registration Statement on Form 8-A dated February 15, 2003, and any other amendment or report filed for the purpose of updating such description.

All reports and definitive proxy or information statements filed pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which de-registers all securities then remaining unsold shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing of such documents. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained herein or in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement. Any such statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.

Item 4. Description of Securities

Not applicable.

Item 5. Interests of Named Experts and Counsel

Not applicable.


Item 6. Indemnification of Directors and Officers

The Registrant has adopted provisions in its Certificate of Incorporation that eliminate the personal liability of its directors and officers for monetary damages arising from a breach of their fiduciary duties in certain circumstances to the fullest extent permitted by law and authorizes the Registrant to indemnify its directors and officers to the fullest extent permitted by law. Such limitation of liability does not affect the availability of equitable remedies such as injunctive relief or rescission.

The Registrant’s Bylaws provide that the Registrant shall indemnify its directors and officers to the fullest extent permitted by the General Corporation Law of Delaware, including circumstances in which indemnification is otherwise discretionary under Delaware law. Section 145 of the General Corporation Law of Delaware provides for the indemnification of officers, directors and other corporate agents in terms sufficiently broad to indemnify such persons, under certain circumstances, for certain liabilities (including reimbursement of expenses incurred) arising under the Securities Act of 1933, as amended (the “Securities Act”). The Registrant has entered into indemnification agreements to such effect with its officers and directors containing provisions which are in some respects broader than the specific indemnification provisions contained in the General Corporation Law of Delaware. The indemnification agreements may require the Company, among other things, to indemnify such officers and directors against certain liabilities that may arise by reason of their status or service as directors or officers (other than liabilities arising from willful misconduct of a culpable nature) and to advance their expenses incurred as a result of any proceeding against them as to which they could be indemnified.

Item 7. Exemption from Registration Claimed

Not applicable.

Item 8. Exhibits

 

Exhibit
Number
 

Exhibit

  5.1   Opinion of Counsel
23.1   Consent of Independent Registered Public Accounting Firm, PricewaterhouseCoopers LLP
23.2   Consent of Counsel is contained in Exhibit 5.1
23.3   Consent of Independent Registered Public Accounting Firm, Ernst & Young LLP
24.1   Power of Attorney (set forth on the signature page of this Registration Statement)

Item 9. Undertakings

(a) The undersigned Registrant hereby undertakes:

(1) To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement:

(i) To include any prospectus required by Section 10(a)(3) of the Securities Act;

(ii) To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement;

(iii) To include any material information with respect to the plan of distribution not previously disclosed in this Registration Statement or any material change to such information in the Registration Statement.


Provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if this Registration Statement is on Form S-3 or Form S-8 and the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the Commission by the Registrant pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference in this Registration Statement.

(2) That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered herein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

(3) To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.

(b) The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.

(c) Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions or otherwise, the Registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act, and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question of whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.


SIGNATURES

Pursuant to the requirements of the Securities Act, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8, and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Milpitas, State of California, on this seventh day of December, 2006.

 

/s/ Kevin J. Kennedy

Kevin J. Kennedy

Chief Executive Officer

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS:

Each person whose signature appears below constitutes and appoints Kevin J. Kennedy and David Vellequette, and each of them, with full power to act alone, his true and lawful attorneys-in-fact, with the power of substitution, for him and in his name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Commission, granting unto said attorneys-in-fact full power and authority to do and perform each and every act and thing requisite and necessary to be done as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated:

 

Name and Signatures

  

Title

 

Date

/s/ Kevin J. Kennedy

Kevin J. Kennedy

  

Chief Executive Officer and Director

(Principal Executive Officer)

  December 7, 2006

/s/ David Vellequette

David Vellequette

   Executive Vice President and Chief Financial Officer (Principal Financial and Accounting Officer)   December 7, 2006

/s/ Richard E. Belluzzo

Richard E. Belluzzo

   Director   December 7, 2006

/s/ Harold L. Covert

Harold L. Covert

   Director   December 7, 2006

/s/ Bruce D. Day

Bruce D. Day

   Director   December 7, 2006

/s/ Kevin A. DeNuccio

Kevin A. DeNuccio

   Director   December 7, 2006

/s/ Masood Jabbar

Masood Jabbar

   Director   December 7, 2006

/s/ Martin A. Kaplan

Martin A. Kaplan

   Chairman   December 7, 2006

/s/ Richard T. Liebhaber

Richard T. Liebhaber

   Director   December 7, 2006

/s/ Casimir S. Skrzypczak

Casimir S. Skrzypczak

   Director   December 7, 2006


EXHIBIT INDEX

 

Exhibit
Number
 

Exhibit

  5.1   Opinion of Counsel
23.1   Consent of Independent Registered Public Accounting Firm, PricewaterhouseCoopers LLP
23.2   Consent of Counsel is contained in Exhibit 5.1
23.3   Consent of Independent Registered Public Accounting Firm, Ernst & Young LLP
24.1   Power of Attorney (set forth on the signature page of this Registration Statement)