-----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, EbseCUYGWSr/gFh3AI78vlgtqImLb2kbPT6jOP6sOVA5OYMAgCl4/4XtBqErX+/Y f23CrZlR/Fk9YUT83nssWQ== 0000891618-02-000448.txt : 20020414 0000891618-02-000448.hdr.sgml : 20020414 ACCESSION NUMBER: 0000891618-02-000448 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEW FOCUS INC CENTRAL INDEX KEY: 0001090215 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 330404910 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-59035 FILM NUMBER: 02529593 BUSINESS ADDRESS: STREET 1: 5215 HELLYER AVENUE STE 100 CITY: SAN JOSE STATE: CA ZIP: 951381001 BUSINESS PHONE: 4089808088 MAIL ADDRESS: STREET 1: 5215 HELLYER AVENUE STE 100 CITY: SAN JOSE STATE: CA ZIP: 951381001 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHANG MILTON PHD CENTRAL INDEX KEY: 0000923328 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: INCUBIC STREET 2: 855 MAUDE AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 MAIL ADDRESS: STREET 1: 855 MAUDE AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 SC 13G 1 f78899nfsc13g.txt SCHEDULE 13G Schedule 13G Page 1 of 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G ------------------------- OMB APPROVAL ------------------------- OMB Number: 3235-0145 ------------------------- Expires: October 31, 2002 ------------------------- Estimated average burden hours per response.........14.9 ------------------------- UNDER THE SECURITIES EXCHANGE ACT OF 1934 New Focus, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 644383 10 1 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (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). Schedule 13G Page 2 of 5 CUSIP No. 644383 10 1 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Milton Chang - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States citizen - -------------------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 9,619,111 shares Beneficially ---------------------------------------------------------------- Owned by Each Reporting 6. Shared Voting Power 5,704,819 shares Person With ---------------------------------------------------------------- 7. Sole Dispositive Power 9,619,111 shares ---------------------------------------------------------------- 8. Shared Dispositive Power 5,704,819 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 9,619,111 shares - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 12.7% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Schedule 13G Page 3 of 5 CUSIP No. 644383 10 1 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Rosalind Chang - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States citizen - -------------------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 5,704,819 shares Beneficially Owned by Each ---------------------------------------------------------------- Reporting Person With 6. Shared Voting Power 5,704,819 shares ---------------------------------------------------------------- 7. Sole Dispositive Power 5,704,819 shares ---------------------------------------------------------------- 8. Shared Dispositive Power 5,704,819 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 5,704,819 shares - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 7.5% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer: New Focus, Inc. (b) Address of Issuer's Principal Executive Offices: 5215 Hellyer Avenue, Suite 100, San Jose, CA 95138. ITEM 2. (a) Name of Person Filing 1) Milton Chang 2) Rosalind Chang (b) Address of Principal Business Office or, if none, Residence Schedule 13G Page 4 of 5 855 Maude Avenue Mountain View, CA 94043 (c) Citizenship 1) Milton Chang -- United States citizen 2) Rosalind Chang -- United States citizen (d) Title of Class of Securities: Common Stock, par value $0.001 per share (e) CUSIP Number: 644383 10 1 ITEM 3. Not Applicable. ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: 1) Milton Chang: At December 31, 2001, Mr. Chang was deemed to own 9,619,111 shares of New Focus, Inc.'s Common Stock consisting of a) 3,914,292 shares held directly, b) 4,804,819 shares held by the Milton and Rosalind Chang Family Trust Dated 7/25/94, c) 800,000 shares held by Chang Partners, a California limited partnership, and d) 100,000 shares held by the Rosalind and Milton Chang Foundation. 2) Rosalind Chang: At December 31, 2001, Mrs. Chang was deemed to own 5,704,819 shares of New Focus, Inc.'s Common Stock consisting of a) 4,804,819 shares held by the Milton and Rosalind Chang Family Trust Dated 7/25/94, b) 800,000 shares held by Chang Partners, a California limited partnership, and c) 100,000 shares held by the Rosalind and Milton Chang Foundation. (b) Percent of Class: 1) Milton Chang: 12.7% 2) Rosalind Chang: 7.5% 3) The foregoing percentages are calculated based on the 75,924,394 shares of Common Stock reported to be outstanding in the Quarterly Report on Form 10-Q of New Focus for the fiscal quarter ended September 30, 2001. (c) Number of Shares as to which such person has sole and shared power to vote, direct the vote, dispose of or direct the disposition: Milton Chang has sole power to vote, direct the vote, dispose or direct the disposition of the 3,914,292 shares held directly by him. Milton Chang and Rosalind Chang each have sole and shared power to vote, direct the vote, dispose or direct the disposition of the 4,804,819 shares held by the Milton and Rosalind Chang Family Trust, the 800,000 shares held by Chang Partners and the 100,000 shares held by the Rosalind and Milton Chang Foundation. 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 [ ]. 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. Schedule 13G Page 5 of 5 ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: Not applicable. ITEM 10. CERTIFICATION: Not applicable. 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. 2/06/02 ------------------------------------------ Date /s/Milton Chang ------------------------------------------ Milton Chang /s/Rosalind Chang ------------------------------------------ Rosalind Chang -----END PRIVACY-ENHANCED MESSAGE-----