-----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, JkZ2npbd4z2CT7wcc6kGKGY1EoAPyOtE0jjoJeZXrixwJVTf/KZNDaYD/DsBOl6N B5eiHn/2+sjY4hRIEUdL3g== 0001417327-09-000028.txt : 20090429 0001417327-09-000028.hdr.sgml : 20090429 20090429215201 ACCESSION NUMBER: 0001417327-09-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090427 FILED AS OF DATE: 20090429 DATE AS OF CHANGE: 20090429 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH JOEL A III CENTRAL INDEX KEY: 0001128899 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30684 FILM NUMBER: 09780813 MAIL ADDRESS: STREET 1: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OCLARO, INC. CENTRAL INDEX KEY: 0001110647 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 201303994 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 2584 JUNCTION AVENUE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408) 383-1400 MAIL ADDRESS: STREET 1: 2584 JUNCTION AVENUE CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: BOOKHAM, INC. DATE OF NAME CHANGE: 20090424 FORMER COMPANY: FORMER CONFORMED NAME: OCLARO, INC. DATE OF NAME CHANGE: 20090423 FORMER COMPANY: FORMER CONFORMED NAME: BOOKHAM, INC. DATE OF NAME CHANGE: 20040929 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-04-27 0001110647 OCLARO, INC. OCLR 0001128899 SMITH JOEL A III 2584 JUNCTION AVENUE SAN JOSE CA 95134 1 0 0 0 Common Stock 2009-04-27 4 A 0 3613 0 A 46364 D Stock Option (Right to Buy) 320.17 2009-04-27 4 A 0 3613 0 A 2009-04-27 2010-10-24 Common Stock 3613 3613 D Stock Option (Right to Buy) 12.58 2009-04-27 4 A 0 3613 0 A 2009-04-27 2010-10-19 Common Stock 3613 3613 D Stock Option (Right to Buy) 13.52 2009-04-27 4 A 0 2713 0 A 2009-04-27 2010-10-18 Common Stock 2713 2713 D Stock Option (Right to Buy) 2.05 2009-04-27 4 A 0 3613 0 A 2009-04-27 2012-10-24 Common Stock 3613 3613 D Stock Option (Right to Buy) 2.80 2009-04-27 4 A 0 1806 0 A 2009-04-27 2012-10-18 Common Stock 1806 1806 D Stock Option (Right to Buy) 13.99 2009-04-27 4 A 0 3613 0 A 2009-04-27 2013-11-06 Common Stock 3613 3613 D Stock Option (Right to Buy) 7.61 2009-04-27 4 A 0 7232 0 A 2009-04-27 2014-11-01 Common Stock 7232 7232 D Stock Option (Right to Buy) 2.08 2009-04-27 4 A 0 7232 0 A 2009-04-27 2015-10-27 Common Stock 7232 7232 D Stock Option (Right to Buy) 4.21 2009-04-27 4 A 0 7232 0 A 2009-04-27 2016-11-03 Common Stock 7232 7232 D Stock Option (Right to Buy) 4.35 2009-04-27 4 A 0 7232 0 A 2009-04-27 2017-11-15 Common Stock 7232 7232 D Stock Option (Right to Buy) .30 2009-04-27 4 A 0 7232 0 A 2009-04-27 2018-11-13 Common Stock 7232 7232 D Reporting Person received such shares in exchange for shares of Avanex Corporation ("Avanex") common stock in connection with the merger of Avanex into Oclaro, Inc. (formerly known as Bookham) (the "Merger"). Pursuant to the terms of the Merger agreement each share of Avanex common stock will automatically be converted into the right to receive 5.426 shares of Bookham common stock. Reporting Person received such stock option in exchange for a stock option to purchase Avanex common stock in connection with the Merger. Pursuant to the terms of the Merger agreement each Avanex stock option assumed will be determined by multiplying the number of options by the exchange ratio of 5.426 and rounded down to the nearest whole number. Christopher Croddy, Attorney-in-Fact 2009-04-29 -----END PRIVACY-ENHANCED MESSAGE-----