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Alcatel-Lucent USA Inc. – ‘4’ for 4/30/01 re: Agere Systems Inc.

As of:  Thursday, 5/10/01   ·   For:  4/30/01   ·   Accession #:  950157-1-500095   ·   File #:  1-16397

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/10/01  Lucent Technologies Inc.          4          10% Owner   1:9K   Agere Systems Inc.                Cravath Swaine & … 01/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of        2     14K 
                Securities by an Insider                                         

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U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ________________________________________________________________________________ 1. Name and Address of Reporting Person* Lucent Technologies Inc. -------------------------------------------------------------------------------- (Last) (First) (Middle) 600 Mountain Avenue -------------------------------------------------------------------------------- (Street) Murray Hill, NJ 07974-0636 -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Agere Systems Inc. (NYSE: Agr.a) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 4/01 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by one Reporting Person [_] Form filed by more than one Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================ [Enlarge/Download Table] 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ---------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) --------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $.01 per share 4/3/01 C 90,000,000 A D --------------------------------------------------------------------------------------------------------------------------- Class A Common Stock, par value $.01 per share 4/4/01 S 90,000,000 D $5.766(1) 0 D --------------------------------------------------------------------------------------------------------------------------- =========================================================================================================================== * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ [Enlarge/Download Table] 10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------ Class A Common Class B Common Stock, par Stock, par value value $.01 $.01 per share(2) 1-for-1 4/3/01 C 90,000,000 per share 90,000,000 945,100,000 D ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- ================================================================================================================================== Explanation of Responses: (1) Lucent exchanged the shares of Class A Common Stock of Agere for debt obligations of Lucent. The shares of Class A Common Stock were valued at $5.766 per share for the exchange. (2) Prior to a tax-free distribution of the shares of Class B common stock to Lucent Technologies Inc.'s stockholders, each share of Class B Common Stock is convertible while held by Lucent Technologies Inc. or any of its subsidiaries (other than Agere Systems Inc.) at the option of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will automatically convert into a share of Class A Common Stock (i) if Lucent or any of its subsidiaries (other than Agere Systems Inc.) is no longer the owner of such stock or (ii) upon the date on which shares of Class B Common Stock owned by Lucent represent less than 50% of the then outstanding shares of common stock of Agere Systems Inc. /s/ Martina Hund-Mejean May 10, 2001 ---------------------------------------- ------------ **Signature of Reporting Person (on Date behalf of Lucent Technologies) ** Intentional misstatement or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies o this Form, one of which must be manually signed. If space is insufficient, see instruction 6 for procedure. 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 valid OMB control number.

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘4’ Filing    Date First  Last      Other Filings
Filed on:5/10/01210-Q
For Period end:4/30/01
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Filing Submission 0000950157-01-500095   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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