-----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, RwGLobd0ffYl/0SHKU2MyhkpRm76T+iqaB0WuSypD/RhDmYLVhydidK3QERMig7a /dnhIZKJ6U6SnNEZwlyq5g== 0001012870-02-000538.txt : 20020414 0001012870-02-000538.hdr.sgml : 20020414 ACCESSION NUMBER: 0001012870-02-000538 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 GROUP MEMBERS: YI HOU LIU SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPLINK COMMUNICATIONS INC CENTRAL INDEX KEY: 0001022225 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 770411346 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60061 FILM NUMBER: 02540378 BUSINESS ADDRESS: STREET 1: 3469 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4084330606 MAIL ADDRESS: STREET 1: 3475 NORTH FIRST ST. CITY: SAN JOSE STATE: CA ZIP: 95134 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LIU ZHIMIN CENTRAL INDEX KEY: 0001134228 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3469 NORTH FIRST ST CITY: SAN JOSE STATE: CA ZIP: 95134 SC 13G/A 1 dsc13ga.txt AMENDMENT NO. 1 TO SCHEDULE 13G ----------------------------------- OMB APPROVAL ----------------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response.........14.90 ----------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Oplink Communications, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 68375Q106 - -------------------------------------------------------------------------------- (CUSIP Number) - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 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. - ---------------------- ------------------- CUSIP NO. 68375Q106 SCHEDULE 13G PAGE 2 OF 7 Pages - ---------------------- ------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Yi Hou Liu - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ NUMBER OF SOLE VOTING POWER 5 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER 6 OWNED BY 2,581,340(1) ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING ----------------------------------------------------------- PERSON SHARED DISPOSITIVE POWER 8 WITH 2,581,340(1) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,581,340(1) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS)* [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 1.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------- ------------------- CUSIP NO. 68375Q106 SCHEDULE 13G PAGE 3 OF 7 Pages - ---------------------- ------------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Zhimin Liu - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ NUMBER OF SOLE VOTING POWER 5 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER 6 OWNED BY 2,581,340(1) ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING ----------------------------------------------------------- PERSON SHARED DISPOSITIVE POWER 8 WITH 2,581,340(1) - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,581,340(1) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS)* [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 1.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------- ------------------- CUSIP NO. 68375Q106 SCHEDULE 13G PAGE 4 OF 7 Pages - ---------------------- ------------------- Item 1. (a) Name of Issuer Oplink Communications, Inc. (b) Address of Issuer's Principal Executive Offices 3469 North First Street San Jose, CA 95134 Item 2. (a) Name of Person Filing Yi Hou Liu Zhimin Liu (b) Address of Principal Business Office or, if none, Residence 3469 North First Street San Jose, CA 95134 (c) Citizenship Yi Hou Liu United States Zhimin Liu United States (d) Title of Class of Securities Common Stock (e) CUSIP Number 68375Q106 Item 3. Not Applicable Item 4. Ownership (a) Amount Beneficially Owned: Yi Hou Liu 2,581,340(1) Zhimin Liu 2,581,340(1) (b) Percent of Class: Yi Hou Liu 1.6% Zhimin Liu 1.6% - ---------------------- ------------------- CUSIP NO. 68375Q106 SCHEDULE 13G PAGE 5 OF 7 Pages - ---------------------- ------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Not Applicable (ii) Shared power to vote or to direct the vote: Yi Hou Liu 2,581,340(1) Zhimin Liu 2,581,340(1) (iii) Sole power to dispose or to direct the disposition of: Not Applicable (iv) Shared power to dispose or to direct the disposition of: Yi Hou Liu 2,581,340(1) Zhimin Liu 2,581,340(1) (1) Includes 2,581,340 shares jointly held by Yi Hou Liu and Zhimin Liu. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of a Group Not Applicable Item 10. Certification Not Applicable - ---------------------- ------------------- CUSIP NO. 68375Q106 SCHEDULE 13G PAGE 6 OF 7 Pages - ---------------------- ------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 12, 2002 --------------------------------------- Date /s/ Zhimin Liu --------------------------------------- Signature Zhimin Liu --------------------------------------- Name/Title /s/ Yi Hou Liu --------------------------------------- Signature Yi Hou Liu --------------------------------------- Name/Title Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) - ---------------------- ------------------- CUSIP NO. 68375Q106 SCHEDULE 13G PAGE 7 OF 7 Pages - ---------------------- ------------------- EXHIBIT A JOINT FILING STATEMENT Pursuant to Rule 13d-1(k)(1), we, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: February 12, 2002 /s/ Yi Hou Liu -------------------------------------------- Yi Hou Liu /s/ Zhimin Liu -------------------------------------------- Zhimin Liu -----END PRIVACY-ENHANCED MESSAGE-----