-----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, QtwUpzv+yULFR/laMgZif3kWBHv9/vwC3VhWawAIyTsftIdV92r7gUgoIRJmNeem ddagDh8RTuYHl/cMWT6OYQ== 0000903423-04-000859.txt : 20040917 0000903423-04-000859.hdr.sgml : 20040917 20040917173628 ACCESSION NUMBER: 0000903423-04-000859 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040910 FILED AS OF DATE: 20040917 DATE AS OF CHANGE: 20040917 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BOOKHAM TECHNOLOGY PLC CENTRAL INDEX KEY: 0001110647 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 90 MILTON PARK ABINGDON STREET 2: 011-44-1235-827200 CITY: OXFORDSHIRE ENGLAND STATE: X0 ZIP: OX14 4RY REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NORTEL NETWORKS CORP CENTRAL INDEX KEY: 0000072911 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30684 FILM NUMBER: 041036483 BUSINESS ADDRESS: STREET 1: 8200 DIXIE ROAD SUITE 100 STREET 2: BRAMPTON CITY: ONTARIO CANADA STATE: A6 ZIP: L6T 5P6 BUSINESS PHONE: 9058630000 MAIL ADDRESS: STREET 1: 8200 DIXIE ROAD STREET 2: SUITE 100 BRAMPTON CITY: ONTARIO CANADA STATE: A6 ZIP: L6T 5P6 FORMER NAME: FORMER CONFORMED NAME: NORTHERN TELECOM LTD DATE OF NAME CHANGE: 19940831 FORMER NAME: FORMER CONFORMED NAME: NORTHERN ELECTRIC CO LTD DATE OF NAME CHANGE: 19760324 3 1 bookham-nortel_0916ex.xml X0202 3 2004-09-10 0 0001110647 BOOKHAM TECHNOLOGY PLC BKHM 0000072911 NORTEL NETWORKS CORP 8200 DIXIE ROAD SUITE 100 BRAMPTON ONTARIO CANADA A6 L6T 5P6 ONTARIO, CANADA 0 0 1 0 Common Stock, $.01 par value 40000000 I Held by wholly-owned direct and indirect subsidiaries of reporting person 20,000,000 Senior Unsecured Convertible Note Due 2007 2004-09-10 2005-09-10 Common Stock, $.01 par value I Held by a wholly-owned subsidiary of reporting person The reporting person has been advised that, effective as of September 10, 2004, Bookham Technology plc, a corporation organized under the laws of England and Wales ("Old Bookham") consummated a reincorporation in the United States pursuant to a scheme of arrangement under the laws of England and Wales (the "Scheme of Arrangement") in which a newly-formed Delaware corporation, Bookham, Inc. ("New Bookham"), has become the parent company of Old Bookham and the shareholders of Old Bookham have become the holders of common stock of New Bookham. The reporting person has also been advised that, as a result of the Scheme of Arrangement, New Bookham has become a reporting company under Section 12 of the Securities Exchange Act of 1934, as amended. The reporting person is filing this Form 3 because it is a 10 percent holder of New Bookham. In connection with the Scheme of Arrangement, Nortel Networks UK Limited ("NNUKL"), a subsidiary of the reporting person, exchanged its $20,000,000 Senior Unsecured Note Due 2007 (the "Original Note") issued by Old Bookham for the $20,000,000 Senior Unsecured Convertible Note Due 2007 (the "Convertible Note") issued to NNUKL by New Bookham, which is listed above in Table II (the Original Note was originally issued to Nortel Networks Optical Components Limited and assigned to NNUKL prior to such exchange). The holder of the Convertible Note is entitled to convert the Convertible Note into shares of common stock of New Bookham at a conversion price equal to ninety (90%) percent of the average of closing price per share of New Bookham common stock on The NASDAQ National Market, or any other principal securities exchange or trading market where the common stock is then listed or trading, for the three (3) trading days preceding the conversion date, but at no time less than $19.00 per share, subject to certain customary adjustments. Assuming a conversion price of $19.00 per share, the Convertible Note would be convertible into 10,526,316 shares of common stock of New Bookham. /s/ Deborah J. Noble, Corporate Secretary and Authorized Representative of Nortel Networks Corporation 2004-09-17 -----END PRIVACY-ENHANCED MESSAGE-----