FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 08/17/2006 |
3. Issuer Name and Ticker or Trading Symbol
JDS UNIPHASE CORP /CA/ [ JDSU ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 65,196 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-qualified Stock Option(right to buy) | 02/04/2004(1) | 02/04/2008 | Common Stock | 24,000 | $105.5937 | D | |
Non-qualified Stock Option (right to buy) | 08/02/2004(1) | 08/02/2008 | Common Stock | 25,000 | $112.625 | D | |
Non-qualified Stock Option (right to buy) | 10/25/2004(1) | 10/24/2008 | Common Stock | 15,000 | $71 | D | |
Non-qualified Stock Option (right to buy) | 04/26/2005(1) | 04/25/2009 | Common Stock | 71,000 | $18.21 | D | |
Non-qualified Stock Option (right to buy) | 06/22/2005(1) | 11/07/2009 | Common Stock | 70,000 | $8.81 | D | |
Non-qualified Stock Option (right to buy) | 06/22/2005(1) | 05/06/2010 | Common Stock | 67,500 | $3.87 | D | |
Non-qualified Stock Option (right to buy) | 06/22/2005(1) | 11/18/2010 | Common Stock | 80,000 | $2.75 | D | |
Non-qualified Stock Option (right to buy) | 06/22/2005(1) | 07/29/2011 | Common Stock | 80,000 | $2.95 | D | |
Non-qualified Stock Option (right to buy) | 06/22/2005(1) | 03/11/2012 | Common Stock | 150,000 | $4.35 | D | |
Non-qualified Stock Option (right to buy) | 05/27/2009(2) | 05/27/2013 | Common Stock | 175,000 | $1.61 | D | |
Non-qualified Stock Option (right to buy) | 05/16/2010(2) | 05/16/2014 | Common Stock | 320,000 | $2.85 | D | |
Restricted Stock Unit | (3) | (8) | Common Stock | 16,667 | $0 | D | |
Restricted Stock Unit | (4) | (8) | Common Stock | 40,000 | $0 | D | |
Restricted Stock Unit | (5) | (8) | Common Stock | 135,000 | $0 | D | |
Restricted Stock Unit | (6) | (8) | Common Stock | 25,000 | $0 | D | |
Restricted Stock Unit | (7) | (8) | Common Stock | 40,000 | $0 | D |
Explanation of Responses: |
1. Fully Vested |
2. 25% of the share subject to the option vest one year from the grant date. Thereafter, 6.25% of the share subject to the option vest quarterly in 12 quarters. |
3. Each unit converts upon vesting into a right to receive one share of stock. 8,333 units will vest on May 27, 2007; 8,334 units will vest on May 27, 2008. |
4. Each unit converts upon vesting into a right to receive one share of stock at the vesting rate of one-third of the grant annually for three years from the date of grant May 16, 2006. |
5. Each unit converts upon vesting into a right to receive one share of stock. 33% of the units subject to the grant vest on 5/16/2007, 67% of the unit subject to the grant vest on 5/16/2008. |
6. Each unit converts upon vesting into a right to receive one share of stock.The grant vests 100% on the fifth anniversary of the grant date May 27, 2005, but is subject to earlier vesting upon achievement of certain performance criteria. Should the performance criteria be achieved, the grant vests 1/3rd upon achievement date, 1/3rd each year that follows. |
7. The Restricted Stock Unit adward is earned and vests subject to achievement of certain performance criteria. The number of units earned will be determined on August 2007 Compensation Committee meeting. Should performance criteria be achieved, the earned units vest 1/3rd upon determination date, 1/3rd each year that follows the determination date. Each earned unit converts upon vesting a right to receive one share of JDSU common stock. |
8. The restricted stock unit converts to common stock upon the vest date. |
Remarks: |
/s/Ying Long, Sr. Stock Administrator, Attorney-in-fact | 08/25/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |