SEC Form 4 · accession 0001094739-16-000139
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John H Clark
Officer — EVP Technology & Global R&D
Period of report
Jun 18, 2016
Accepted (ET)
Jun 21, 2016 · 7:21 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 StockF2 | Jun 18, 2016 | F | 4,628 | $18.74 | D | 166,398 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 18, 2016, the Reporting Person vested in 8,883 restricted stock units ("RSUs") and as a result acquired 8,883 shares of common stock of the Issuer pursuant to the Reporting Person's June 14, 2012 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person.
- F2Includes 533 shares received as an Issuer match under the Issuer's 401K Plan on December 24, 2015 and not required to be reported, and also includes 611 shares purchased under the Issuer's Employee Stock Purchase Plan on December 15, 2015 and such purchase was not required to be reported pursuant to Section 16(a), and also includes 956 shares purchased under the Issuer's Employee Stock Purchase Plan on June 15, 2016 and such purchase was not required to be reported pursuant to Section 16(a).