UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | 08/07/2004(3) | 08/07/2013 | Common Stock | 15,000 | $ 15.3944 (1) | D | Â |
Stock Option (right to buy) | 09/25/2004(3) | 09/25/2013 | Common Stock | 7,500 | $ 26.0262 (1) | D | Â |
Stock Option (right to buy) | 06/02/2005(3) | 06/02/2014 | Common Stock | 5,000 | $ 11.2572 (1) | D | Â |
Stock Option (right to buy) | Â (2) | 09/21/2014 | Common Stock | 7,000 | $ 6.73 | D | Â |
Stock Option (right to buy) | 09/22/2005(3) | 09/21/2014 | Common Stock | 7,000 | $ 6.73 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Haynes James Douglas 2584 JUNCTION AVENUE SAN JOSE, CA 95134 |
 |  |  Chief Operating Officer |  |
Jacobin Zorin, Attorney-in-Fact | 03/11/2005 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Converted from British Pounds Sterling to U.S. Dollars using the noon buying rate of exchange on March 4, 2005 of 1.00 British Pound Sterling = 1.9243 U.S. Dollars. |
(2) | Fifty percent of the option vests upon Bookham, Inc. achieving profitability and the remaining fifty percent of the option vests upon Bookham, Inc. achieving cash break-even. On September 22, 2009, all of the unvested option vests. |
(3) | The option vests as to 12/48 on the first anniversary of date of grant and a further 1/48 on the first day of each of the next 36 months. |