-----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, Jno+TmknqN4LmUwDzgETkFcDKLS/b9VTohn5Rfin1Op3lt4S4f31F1S8ddX2IGZ6 mHgLp9f0kkfzIQ8trEyGpw== 0000898430-01-000619.txt : 20010223 0000898430-01-000619.hdr.sgml : 20010223 ACCESSION NUMBER: 0000898430-01-000619 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: TRACY TAM TRANG GROUP MEMBERS: TRAN FAMILY TRUST GROUP MEMBERS: TRAN MUOI VAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTICAL COMMUNICATION PRODUCTS INC CENTRAL INDEX KEY: 0001122668 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 954344224 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60839 FILM NUMBER: 1542804 BUSINESS ADDRESS: STREET 1: 20961 KNAPP STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 818701164 MAIL ADDRESS: STREET 1: 2096 KNAPP STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAN MUOI VAN CENTRAL INDEX KEY: 0001134488 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 29061 KNAPP ST. CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 8187010164 MAIL ADDRESS: STREET 1: 29061 KNAPP ST. CITY: CHATSWORTH STATE: CA ZIP: 91311 SC 13G 1 0001.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ________)* Optical Communication Products, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, $0.001 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 68382T 10 1 ------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to which the 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 disclosures provided in a prior cover page. The information required on 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 9 pages - ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 2 OF 9 Pages - ------------------------- --------------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Muoi Van Tran - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) Not Applicable. (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER 7,431,400 (1) NUMBER OF SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 8,508,760 (1) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 7,431,400 (1) REPORTING PERSON WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 8,508,760 (1) - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,940,160 (1) - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) NOT APPLICABLE - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.23% (2) - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------ - ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 3 OF 9 Pages - ------------------------- --------------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Tracy Tam Trang - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) Not Applicable. (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER 2,800,000 (3) NUMBER OF SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 8,508,760 (3) OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 2,800,000 (3) REPORTING PERSON WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 8,508,760 (3) - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11,308,760 (3) - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) NOT APPLICABLE - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.53% (4) - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ - ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 4 OF 9 Pages - ------------------------- --------------------- - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Tran Family Trust dated June 26, 1997 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) Not Applicable. (a) [_] (b) [_] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER 8,428,760 NUMBER OF SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 8,428,760 REPORTING PERSON WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,428,760 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) NOT APPLICABLE - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.85% (4) - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON OO - ------------------------------------------------------------------------------
- ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 5 OF 9 Pages - ------------------------- --------------------- Item 1(a) Name of Issuer: Optical Communication Products, Inc. ---------------------------------------------------------------------- Item 1(b) Address of Issuer's Principal Executive Offices: 20961 Knapp Street ---------------------------------------------------------------------- Chatsworth, California 91331 ---------------------------------------------------------------------- ---------------------------------------------------------------------- Item 2(a) Name of Person Filing: Muoi Van Tran, Tracy Tam Trang, and Tran Family Trust ---------------------------------------------------------------------- Item 2(b) Address of Principal Business Offices or, if none, Residence: 20961 Knapp Street ---------------------------------------------------------------------- Chatsworth, California 91331 ---------------------------------------------------------------------- ---------------------------------------------------------------------- Item 2(c) Citizenship Muoi Van Tran-United States Tracy Tam Trang-United States Tran Family Trust-California ---------------------------------------------------------------------- Item 2(d) Title of Class of Securities: Class A Common Stock, $0.001 par value per share ---------------------------------------------------------------------- Item 2(e) CUSIP Number: 68382T 10 1 ---------------------------------------------------------------------- Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b), check whether the person filing is a: Not Applicable. ---------------------------------------------------------------------- Item 4. Ownership. (a) Amount Beneficially Owned: Shares Muoi Van Tran(1)-15,940,160 ------------------------------- Tracy Tam Trang(3)-11,308,760 ------------------------------- Tran Family Trust-8,428,760 ------------------------------- (b) Percent of Class: % Muoi Van Tran(2)-14.23% --------------------------------------------- Tracy Tam Trang(4)-10.53% --------------------------------------------- Tran Family Trust-7.85% --------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Muoi Van Tran(1)-7,431,400 ----------------------------------------------------------- Tracy Tam Trang(3)-2,800,000 ----------------------------------------------------------- Tran Family Trust-8,428,760 ----------------------------------------------------------- (ii) shared power to vote or to direct the vote: Muoi Van Tran(1)-8,508,760 ----------------------------------------------------------- Tracy Tam Trang(3)-8,508,760 -----------------------------------------------------------
- ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 6 OF 9 Pages - ------------------------- --------------------- Tran Family Trust - 0 ----------------------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of: Muoi Van Tran (1) - 7,431,400 ----------------------------------------------------------------------------- Tracy Tam Trang (3) - 2,800,000 ----------------------------------------------------------------------------- Tran Famly Trust - 8,428,760 ----------------------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of: Muoi Van Tran (1) - 8,508,760 ----------------------------------------------------------------------------- Tracy Tam Trang (3) - 8,508,760 ----------------------------------------------------------------------------- Tran Family Trust - 0 ----------------------------------------------------------------------------- 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. Not Applicable. ----------------------------------------------------------------------------------------
- ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 7 OF 9 Pages - ------------------------- --------------------- 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.
February 8, 2001 ----------------------------------------------- Date: /s/ Muoi Van Tran ----------------------------------------------- (Signature) Muoi Van Tran /s/ Tracy Tam Trang ----------------------------------------------- Tracy Tam Trang TRAN FAMILY TRUST /s/ Muoi Van Tran ----------------------------------------------- Muoi Van Tran, Co-Trustee /s/ Tracy Tam Trang ----------------------------------------------- Tracy Tam Trang, Co-Trustee
(1) Included in the number of shares Mr. Tran beneficially owns are: (i) 8,428,760 shares of Class A common stock held by Muoi Van Tran and Tracy Tam Trang, as Co-Trustees of the Tran Family Trust dated June 26, 1997, (ii) 2,100,000 shares of Class A common stock held by Muoi Van Tran, as trustee of The Muoi Van Tran 2000 Trust dated October 1, 2000, (iii) 700,000 shares of Class A common stock held Muoi Van Tran, as trustee of The Muoi Van Tran Trust dated October 1, 2000, (iv) 40,000 shares of Class A common stock held by Muoi Van Tran and Tracy Tam Trang, as Co-Trustees of the Tiffany Tam Tran Irrevocable Trust dated October 1, 2000, (v) 40,000 shares of Class A common stock held by Muoi Van Tran and Tiffany Tam Trang, as Co-Trustees of the Nicholas Nam Tran Irrevocable Trust dated October 1, 2000, and (vi) options to purchase 4,631,400 shares of Class A common stock, all of which are presently exercisable. Mr. Tran has shared voting and dispositive power with respect to the shares held by the Tran Family Trust, the Tiffany Tam Tran Irrevocable Trust and the Nicholas Nam Tran Irrevocable Trust. (2) Calculated based on (i) 41,380,040 shares of Class A common stock outstanding as of December 31, 2000, (ii) the conversion of 66,000,000 shares of Class B common stock outstanding as of December 31, 2000 into an equivalent number of Class A common stock, and (iii) the exercise of all options held by Mr. Tran. (3) Included in the number of shares Ms. Trang beneficially owns are: 8,428,760 shares of Class A common stock held by Muoi Van Tran and Tracy Tam Trang, as Co- Trustees of the Tran Family Trust dated June 26, 1997, (ii) 2,100,000 shares held by Tracy Tam Trang, as Trustee of The Tracy Tam Trang 2000 Trust dated October 1, 2000, (iii) 700,000 shares of Class A common stock held by Tracy Tam Trang, as Trustee of The Tracy Tam Trang Trust dated October 1, 2000, (iv) 40,000 shares of Class A common stock held by Muoi Van Tran and Tracy Tam Trang, as Co-Trustees of the Tiffany Tam Tran Irrevocable Trust dated October 1, 2000, and (v) 40,000 shares of Class A common stock held by Muoi Van Tran and Tiffany Tam Trang, as Co-Trustees of the Nicholas Nam Tran - ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 8 OF 9 Pages - ------------------------- --------------------- Irrevocable Trust dated October 1, 2000. Ms. Trang has shared voting and dispositive power with respect to the shares held by the Tran Family Trust, the Tiffany Tam Tran Irrevocable Trust and the Nicholas Nam Tran Irrevocable Trust. (4) Calculated based on (i) 41,380,040 shares of Class A common stock outstanding as of December 31, 2000 and (ii) the conversion of 66,000,000 shares of Class B common stock outstanding as of December 31, 2000 into an equivalent number of Class A common stock. - ------------------------- --------------------- CUSIP NO. 68382T 10 1 13G Page 9 OF 9 Pages - ------------------------- --------------------- EXHIBIT A AGREEMENT FOR JOINT FILING OF SCHEDULE 13G The undersigned and each other person executing this joint filing agreement (the "Agreement') agree as follows: (1) The undersigned and each other person executing this Agreement are individually eligible to use the Schedule 13G to which this Exhibit is attached and such Schedule 13G is filed on behalf of the undersigned and each other person executing this Agreement; and (2) The undersigned and each other person executing this Agreement are responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of the undersigned or any other person executing this Agreement is responsible for the completeness or accuracy of the information statement concerning any other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original, but all of which, taken together, shall constitute one and the same instrument. Date: February 8, 2001 Signature: /s/ Muoi Van Tran ------------------------ Name: Muoi Van Tran Signature: /s/ Tracy Tam Trang ------------------------ Name: Tracy Tam Trang TRAN FAMILY TRUST Signature: /s/ Muoi Van Tran ------------------------ Name: Muoi Van Tran Title: Co-Trustee Signature: /s/ Tracy Tam Trang ------------------------ Name: Tracy Tam Trang Title: Co-Trustee -----END PRIVACY-ENHANCED MESSAGE-----