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FORM 3 OMB APPROVAL
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OMB Number: 3235-0104
Expires: September 30, 1998
Estimated average burden
hours per response ...... 0.5
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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f)
of the Investment Company Act of 1940
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<S> <C> <C> <C>
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(Print or Type Responses)
1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date
JDS Uniphase Corporation Statement Trading Symbol of Original
- ---------------------------------------- (Month/Day/Year) Optical Coating Laboratory, Inc. OCLI (Month/Day/Year)
(Last) (First) (Middle) 11/3/99 ----------------------------------
163 Baypointe Parkway ---------------------------- 5. Relationship of Reporting -----------------------
- ---------------------------------------- 3. IRS or Social Security Persons to Issuer 7. Individual or Joint/
(Street) Number of Reporting (Check all applicable) Group Filing (Check
San Jose, California 95134 Person (Voluntary) Director X 10% Owner Applicable Line)
- -------------------------------------- ----- ----- Form filed by
(City) (State) (Zip) ---------------------------- Officer Other ----- One Reporting
----- (give ----- (specify Person
title below) below) Form filed by
----- More than One
---------------------------------- Reporting Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
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1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect
(Instr. 4) Beneficially Owned Direct (D) or Beneficial
(Instr. 4) Indirect (I) Ownership (Instr. 5)
(Instr. 5)
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Common Stock, $.01 Par Value No Securities beneficially owned.
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See Attachment
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)
*If the form is filed by more than one reporting person, see Instruction 5(b)(v). SEC 1473 (9-96)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
<S> <C> <C> <C> <C> <C>
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1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect
(Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership
Expiration Date Derivative Security Exercise Form of (Instr. 5)
(Month/Day/ (Instr. 4) Price of Deriv-
Year) Deriv- ative
ative Security:
Security
------------------------------------------------- Direct
Date Expira- Amount or (D) or
Exercis- tion Title Number Indirect (I)
able Date of Shares (Instr. 5)
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No Securities
beneficially owned
See attachment
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Explanation of Responses:
See attachment
/s/ Michael C. Phillips 11/15/99
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Name: Michael C. Phillips Date
Title: Senior Vice President,
**Intentional misstatements or omissions of facts constitute Federal Criminal Business Development,
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). General Counsel
Note. File three copies of this form, one of which must be manually signed. Page 2
If space is insufficient, See Instruction 6 for procedure. SEC 1473 (9/96)
Potential persons who are to respond to the collection of information contained in this form
are not required to respond unless the form displays a currently value OMB Number.
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ATTACHMENT TO FORM 3
In connection with the Agreement and Plan of Reorganization and Merger
dated as of November 3, 1999, among JDS Uniphase Corporation ("the Reporting
Person"), Vintage Acquisition, Inc. and Optical Coating Laboratory, Inc.
("OCLI"), the Reporting Person and OCLI entered into a Company Stock Option
Agreement pursuant to which OCLI granted the Reporting Person an option (the
"Option") to purchase up to 2,838,060 shares of Common Stock, par value $0.01
per share, of OCLI (the "Option Shares"), for a purchase price of $177.65 per
share (the "Purchase Price"). Prior to the exercise of the Option, the
Reporting Person is not entitled to any rights as a shareholder of OCLI as to
the Option Shares. The number of Option Shares and the Purchase Price are
subject to adjustment in certain circumstances, provided that the aggregate
number of shares purchasable by the Reporting Person upon exercise of the Option
at the time of its exercise may not exceed 19.9% of the outstanding shares of
common stock of OCLI. The Option may only be exercised upon the happening of
certain events, none of which has occurred as of the date hereof. Prior to such
occurrence, the Reporting Person expressly disclaims beneficial ownership of the
Option Shares.
