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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who 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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 77.41 (2) | 04/27/2009 | A | 4,465 | 04/27/2009 | 02/02/2010 | Common Stock | 4,465 | $ 0 | 4,465 | D | ||||
Stock Option (Right to Buy) | $ 77.41 (2) | 04/27/2009 | A | 45,274 | 04/27/2009 | 02/02/2010 | Common Stock | 45,274 | $ 0 | 45,274 | D | ||||
Stock Option (Right to Buy) | $ 43.2 (2) | 04/27/2009 | A | 5,784 | 04/27/2009 | 03/19/2011 | Common Stock | 5,784 | $ 0 | 5,784 | D | ||||
Stock Option (Right to Buy) | $ 36.47 (2) | 04/27/2009 | A | 5,784 | 04/27/2009 | 04/30/2011 | Common Stock | 5,784 | $ 0 | 5,784 | D | ||||
Stock Option (Right to Buy) | $ 20.6 (2) | 04/27/2009 | A | 67,488 | 04/27/2009 | 08/14/2011 | Common Stock | 67,488 | $ 0 | 67,488 | D | ||||
Stock Option (Right to Buy) | $ 20.6 (2) | 04/27/2009 | A | 4,856 | 04/27/2009 | 08/14/2011 | Common Stock | 4,856 | $ 0 | 4,856 | D | ||||
Stock Option (Right to Buy) | $ 6.78 (2) | 04/27/2009 | A | 36,175 | 04/27/2009 | 11/05/2011 | Common Stock | 36,175 | $ 0 | 36,175 | D | ||||
Stock Option (Right to Buy) | $ 13.55 (2) | 04/27/2009 | A | 126,604 | 04/27/2009 | 11/05/2011 | Common Stock | 126,604 | $ 0 | 126,604 | D | ||||
Stock Option (Right to Buy) | $ 2.8 (2) | 04/27/2009 | A | 7,536 | 04/27/2009 | 12/18/2012 | Common Stock | 7,536 | $ 0 | 7,536 | D | ||||
Stock Option (Right to Buy) | $ 5.47 (2) | 04/27/2009 | A | 72,344 | 04/27/2009 | 08/01/2013 | Common Stock | 72,344 | $ 0 | 72,344 | D | ||||
Stock Option (Right to Buy) | $ 10.92 (2) | 04/27/2009 | A | 72,344 | 04/27/2009 | 08/01/2013 | Common Stock | 72,344 | $ 0 | 72,344 | D | ||||
Stock Option (Right to Buy) | $ 7.22 (2) | 04/27/2009 | A | 9,034 | 04/27/2009 | 07/29/2014 | Common Stock | 9,034 | $ 0 | 9,034 | D | ||||
Stock Option (Right to Buy) | $ 7.22 (2) | 04/27/2009 | A | 72,344 | 04/27/2009 | 07/29/2014 | Common Stock | 72,344 | $ 0 | 72,344 | D | ||||
Stock Option (Right to Buy) | $ 2.74 (2) | 04/27/2009 | A | 18,084 | 04/27/2009 | 06/13/2015 | Common Stock | 18,084 | $ 0 | 18,084 | D | ||||
Stock Option (Right to Buy) | $ 4.54 (2) | 04/27/2009 | A | 10,852 | 04/27/2009 | 10/31/2016 | Common Stock | 10,852 | $ 0 | 10,852 | D | ||||
Stock Option (Right to Buy) | $ 4.54 (2) | 04/27/2009 | A | 25,317 | 04/27/2009 | 10/21/2017 | Common Stock | 25,317 | $ 0 | 25,317 | D | ||||
Stock Option (Right to Buy) | $ 0.15 (2) | 04/27/2009 | A | 325,560 | 04/27/2009 | 11/21/2018 | Common Stock | 325,560 | $ 0 | 325,560 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BARBAROSSA GIOVANNI 2584 JUNCTION AVENUE SAN JOSE, CA 95134 |
X |
Christopher Croddy, Attorney-in-Fact | 04/29/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reporting Person received such shares in exchange for shares of Avanex Corporation ("Avanex") common stock in connection with the merger of Avanex into Oclaro, Inc. (formerly known as Bookham) (the "Merger"). Pursuant to the terms of the Merger agreement each share of Avanex common stock will automatically be converted into the right to receive 5.426 shares of Bookham common stock. |
(2) | Reporting Person received such stock option in exchange for a stock option to purchase Avanex common stock in connection with the Merger. Pursuant to the terms of the Merger agreement each Avanex stock option assumed will be determined by multiplying the number of options by the exchange ratio of 5.426 and rounded down to the nearest whole number. |