SEC Form 4 · accession 0001094739-16-000259
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Brown
Officer — EVP & Chief Counsel
Period of report
Sep 27, 2016
Accepted (ET)
Sep 29, 2016 · 4:38 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 27, 2016 | M | 1,563 | $8.29 | A | 121,800 | D | |
| Common Stock | Sep 27, 2016 | M | 2,671 | $8.29 | A | 124,471 | D | |
| Common Stock | Sep 27, 2016 | S | 13,734 | $30.00 | D | 110,737 | 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) | $8.29 | Sep 27, 2016 | M | 1,563 | D | Sep 1, 2010 | Dec 8, 2019 | Common Stock | 1,563 | 0 | D |
| Stock Option (Right to Buy) | $8.29 | Sep 27, 2016 | M | 2,671 | D | Mar 8, 2010 | Dec 8, 2019 | Common Stock | 2,671 | 0 | D |
Explanation of responses
- F1Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on January 8, 2016.