-----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, KKq2IEEcBVgyddPh+55n99ZxDOR/lJUWEgboTXYRrIOX8XVRqnooO3JzMyugcVk2 +HKuNlTRqN+b6Og1zZCG5A== 0001012870-03-000500.txt : 20030211 0001012870-03-000500.hdr.sgml : 20030211 20030211150254 ACCESSION NUMBER: 0001012870-03-000500 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030211 GROUP MEMBERS: INVESTAR BURGEON VENTURE CAPITAL, INC. 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: 03549975 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: CHANG HERBERT CENTRAL INDEX KEY: 0001134178 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3600 PRUNERIDE AVE STREET 2: STE 300 CITY: SANTA CLARA STATE: CA ZIP: 95051 BUSINESS PHONE: 4082222500 MAIL ADDRESS: STREET 1: 3600 PRUNERIDGE AVE STREET 2: STE 300 CITY: SANTA CLARA STATE: CA ZIP: 95051 SC 13G/A 1 dsc13ga.htm AMENDMENT NO. 2 TO SC 13G Amendment No. 2 to SC 13G

 


SEC 1745 (02-02)

  

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.


 


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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

SCHEDULE 13G

 

 

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

 

 

 

Oplink Communications, Inc.


(Name of Issuer)

 

 

Common Stock, par value $0.001


(Title of Class of Securities)

 

 

68375Q106


                                (CUSIP Number)                                

 

 

December 31, 2002


(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).

 

Page 1 of 7 pages

 


CUSIP No. 68375Q106

 


  1.


 

Name of Reporting Persons

I.R.S. Identification No(s). of above person(s) (entities only).

 

Herbert Chang

   

  2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a) ¨

(b) x

   

  3.


 

SEC Use Only

 

   

  4.


 

Citizenship or Place of Organization

 

Taiwan

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5.    Sole Voting Power

 

        546,582


  6.    Shared Voting Power

 

        22,513,808


  7.    Sole Dispositive Power

 

        546,582


  8.    Shared Dispositive Power

 

        22,513,808


  9.


 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

23,060,390

   

10.


 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

   

11.


 

Percent of Class Represented by Amount in Row (9)

 

14.3%

   

12.


 

Type of Reporting Person (See Instructions)

 

IN

   

 

Page 2 of 7 pages

 


CUSIP No. 68375Q106

 


  1.


 

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only).

 

InveStar Burgeon Venture Capital, Inc.

   

  2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)   ¨

(b)   x

   

  3.


 

SEC Use Only

 

   

  4.


 

Citizenship or Place of Organization

 

Cayman Islands

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5.    Sole Voting Power

 

        14,890,448


  6.    Shared Voting Power

 

        0


  7.    Sole Dispositive Power

 

        14,890,448


  8.    Shared Dispositive Power

 

        0


  9.


 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

14,890,448

   

10.


 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨

   

11.


 

Percent of Class Represented by Amount in Row (9)

 

9.2%

   

12.


 

Type of Reporting Person (See Instructions)

 

CO

   

 

 

Page 3 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
         Herbert Chang
         InveStar Burgeon Venture Capital, Inc.

 

  (b)   Address of Principal Business Office or, if none, Residence
         Room 1201, 12F, 333 Keelung Rd
         Taipei, Taiwan

 

  (c)   Citizenship

Herbert Chang

  

Taiwan

InveStar Burgeon Venture Capital, Inc.

  

Cayman Islands

 

  (d)   Title of Class of Securities
         Common Stock

 

  (e)   CUSIP Number
         68375Q106

 

Item 3.   If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

 

       Not Applicable.

 

Item 4.   Ownership

 

  (a)   Amount Beneficially Owned:

Herbert Chang

  

23,060,390 (1)

InveStar Burgeon Venture Capital, Inc.

  

14,890,448

 

  (b)   Percent of Class:

Herbert Chang

  

14.3%

InveStar Burgeon Venture Capital, Inc.

  

9.2%

 


1 Includes (i) 546,582 shares issuable upon the exercise of options that are exercisable within 60 days of December 31, 2002; (ii) 14,890,448 shares held by InveStar Burgeon Venture Capital, Inc.; (iii) 3,648,896 shares held by InveStar Excelsus Venture Capital (Int’l), Inc. LDC; (iv) 2,574,464 shares held by Forefront Venture Partners, L.P.; (v) 1,400,000 shares held by InveStar Dayspring Venture Capital, Inc.

 

Page 4 of 7 Pages


 

  (c)   Number of shares as to which the person has:
  (i)   Sole power to vote or to direct the vote:

 

Herbert Chang

  

564,582

 

  (ii)   Shared power to vote or to direct the vote:

 

 

Herbert Chang

  

22,513,808 (2)

InveStar Burgeon Venture Capital, Inc.

  

14,890,448

 

  (iii)   Sole power to dispose or to direct the disposition of:

 

Herbert Chang

  

546,582

 

  (iv)   Shared power to dispose or to direct the disposition of:

 

Herbert Chang

  

22,513,808 (2)

InveStar Burgeon Venture Capital, Inc.

  

14,890,448

 

Item 5.   Ownership of Five Percent or Less of a Class

 

Not applicable

 

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 or Control Person.

 

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

 


2 Includes (i) 14,890,448 shares held by InveStar Burgeon Venture Capital, Inc.; (ii) 3,648,896 shares held by InveStar Excelsus Venture Capital (Int’l), Inc. LDC; (iii) 2,574,464 shares held by Forefront Venture Partners, L.P.; (iv) 1,400,000 shares held by InveStar Dayspring Venture Capital, Inc.

 

Page 5 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 10, 2003       


Date

 

/s/ Herbert Chang      


Signature

 

Herbert Chang / President    


Name/Title

 

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

 

Page 6 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 10, 2003

 

HERBERT CHANG

By:

 

/s/ Herbert Chang      


Name: Herbert Chang

 

InveStar Burgeon Venture Capital, Inc.

By:

 

/s/ Herbert Chang      


Name: Herbert Chang

 

Title: President

 

Page 7 of 7 pages

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