SEC Form 4 · accession 0001094739-16-000125
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry S Rawls
Officer — Chairman of the Board & CEO · Director
Period of report
Mar 29, 2016
Accepted (ET)
Mar 30, 2016 · 8:22 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 StockF1 | Mar 29, 2016 | M | 38,275 | $3.36 | A | 725,404 | D | |
| Common Stock | Mar 29, 2016 | S | 25,038 | $18.00 | D | 700,366 | 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) | $3.36 | Mar 29, 2016 | M | 38,275 | D | Dec 12, 2009 | Dec 12, 2018 | Common Stock | 38,275 | 120,833 | D |
Explanation of responses
- F1Includes 533 shares received as an Issuer match under the Issuer's 401k Plan on December 24, 2015 and not required to be reported.
- F2Shares sold to cover aggregate option exercise price and estimated taxes resulting from option exercise.