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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
|
05/02/2003(1)
|
11/02/2011 |
Common Stock
|
2,000
|
$
19.68
(4)
|
D
|
Â
|
Stock Option (Right to Buy)
|
11/14/2003(2)
|
11/14/2012 |
Common Stock
|
500
|
$
13.58
(4)
|
D
|
Â
|
Stock Option (Right to Buy)
|
11/14/2003(2)
|
11/14/2012 |
Common Stock
|
1,500
|
$
13.58
(4)
|
D
|
Â
|
Stock Option (Right to Buy)
|
09/25/2004(2)
|
09/25/2013 |
Common Stock
|
5,000
|
$
23.55
(4)
|
D
|
Â
|
Stock Option (Right to Buy)
|
06/02/2005(2)
|
06/02/2014 |
Common Stock
|
10,000
|
$
10.19
(4)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
09/21/2014 |
Common Stock
|
8,000
|
$
6.73
|
D
|
Â
|
Stock Option (Right to Buy)
|
09/22/2005(2)
|
09/21/2014 |
Common Stock
|
8,000
|
$
6.73
|
D
|
Â
|
* |
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) |
Option vests over 3.5 years at a rate of 33% of the total number of shares granted on each of May 2, 2003, May 2, 2004 and May 2, 2005. |
(2) |
Option vests over 4 years at a rate of 25% upon the one year anniversary of the date of the grant and 1/48th per month thereafter. |
(3) |
50% of the shares subject to the option vests upon Bookham, Inc. achieving profitability and the remaining 50% of the shares vest upon Bookham, Inc. achieving cash break even. On September 22, 2009, all of the unvested shares vest. |
(4) |
Converted from British Pounds Sterling to U.S. dollars using the noon buying rate of exchange on July 26, 2005 of 1.00 British Pound Sterling = 1.7415 U.S. Dollars. |