SEC Form 4 · accession 0001094739-15-000014
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry S Rawls
Officer — Exec Chairman of the Board · Director
Period of report
Apr 8, 2015
Accepted (ET)
Apr 10, 2015 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094739
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 8, 2015 | M | 2,745 | $9.76 | A | 599,945 | D | |
| Common Stock | Apr 8, 2015 | M | 39,754 | $9.76 | A | 639,699 | D | |
| Common StockF1 | Apr 8, 2015 | S | 42,499 | $21.4464 | D | 597,200 | D | |
| Common Stock | Apr 9, 2015 | M | 20,000 | $9.76 | A | 617,200 | D | |
| Common StockF2,F3 | Apr 9, 2015 | S | 20,000 | $21.4004 | D | 597,200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $9.76 | Apr 8, 2015 | M | 2,745 | D | Jun 8, 2008 | Jun 8, 2015 | Common Stock | 2,745 | 20,000 | D |
| Stock Option (Right to Buy) | $9.76 | Apr 8, 2015 | M | 39,754 | D | Jun 8, 2006 | Jun 8, 2015 | Common Stock | 39,754 | 0 | D |
| Stock Option (Right to Buy) | $9.76 | Apr 9, 2015 | M | 20,000 | D | Jun 8, 2008 | Jun 8, 2015 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.38 to $21.58 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.295 to $21.46 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- F3Includes 395 shares received as an Issuer match under the Issuer's 401K Plan on December 26, 2014 and not required to be reported.