SEC Form 4 · accession 0001094739-16-000249
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Young
Officer — EVP Global Operations
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 4:07 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 | Sep 14, 2016 | M | 25,000 | $21.68 | A | 245,832 | D | |
| Common Stock | Sep 14, 2016 | S | 25,000 | $27.7529 | D | 220,832 | D | |
| Common Stock | Sep 14, 2016 | M | 54,892 | $3.36 | A | 275,724 | D | |
| Common Stock | Sep 14, 2016 | S | 13,000 | $27.7563 | D | 262,724 | D | |
| Common Stock | Sep 14, 2016 | S | 20,892 | $27.7524 | D | 241,832 | D | |
| Common Stock | Sep 14, 2016 | S | 21,000 | $27.7528 | D | 220,832 | D | |
| Common Stock | Sep 14, 2016 | M | 23,431 | $8.29 | A | 244,263 | D | |
| Common Stock | Sep 14, 2016 | S | 8,196 | $27.754 | D | 236,067 | D | |
| Common Stock | Sep 14, 2016 | S | 15,235 | $27.7667 | D | 220,832 | 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) | $21.68 | Sep 14, 2016 | M | 25,000 | D | Sep 7, 2008 | Sep 7, 2017 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy) | $3.36 | Sep 14, 2016 | M | 54,892 | D | Aug 12, 2009 | Dec 12, 2018 | Common Stock | 54,892 | 0 | D |
| Stock Option (Right to Buy) | $8.29 | Sep 14, 2016 | M | 23,431 | D | Dec 8, 2012 | Dec 8, 2019 | Common Stock | 23,431 | 0 | D |
Explanation of responses
- F1Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on January 6, 2016.