SEC Form 4 · accession 0001094739-16-000274
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd Swanson
Officer — EVP Sales / Marketing / R&D
Period of report
Oct 17, 2016
Accepted (ET)
Oct 19, 2016 · 4:56 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 | Oct 17, 2016 | M | 868 | $8.29 | A | 257,741 | D | |
| Common Stock | Oct 17, 2016 | M | 391 | $10.08 | A | 258,132 | D | |
| Common Stock | Oct 17, 2016 | S | 6,183 | $28.78 | D | 251,949 | 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 | Oct 17, 2016 | M | 868 | D | Dec 8, 2011 | Dec 8, 2019 | Common Stock | 868 | 43,681 | D |
| Stock Option (Right to Buy) | $10.08 | Oct 17, 2016 | M | 391 | D | Sep 11, 2009 | Sep 11, 2018 | Common Stock | 391 | 0 | D |
Explanation of responses
- F1Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on June 21, 2016.