SEC Form 4 · accession 0001094739-17-000008
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt Adzema
Officer — EVP & Chief Financial Officer
Period of report
Feb 13, 2017
Accepted (ET)
Feb 14, 2017 · 6:05 pm EST
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 | Feb 13, 2017 | M | 1 | $8.29 | A | 130,902 | D | |
| Common Stock | Feb 13, 2017 | M | 3 | $8.29 | A | 130,905 | D | |
| Common Stock | Feb 13, 2017 | M | 678 | $25.68 | A | 131,583 | D | |
| Common Stock | Feb 13, 2017 | M | 12,500 | $21.68 | A | 144,083 | D | |
| Common Stock | Feb 13, 2017 | S | 35,888 | $35.00 | D | 108,195 | 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 | Feb 13, 2017 | M | 1 | D | Sep 1, 2010 | Dec 8, 2019 | Common Stock | 1 | 0 | D |
| Stock Option (Right to Buy) | $8.29 | Feb 13, 2017 | M | 3 | D | Dec 8, 2010 | Dec 8, 2019 | Common Stock | 3 | 0 | D |
| Stock Option (Right to Buy) | $25.68 | Feb 13, 2017 | M | 678 | D | Mar 8, 2008 | Mar 8, 2017 | Common Stock | 678 | 0 | D |
| Stock Option (Right to Buy) | $21.68 | Feb 13, 2017 | M | 12,500 | D | Sep 7, 2008 | Sep 7, 2017 | Common Stock | 12,500 | 0 | D |
Explanation of responses
- F1Includes 717 shares purchased under the Issuer's Employee Stock Purchase Plan on December 15, 2016 and such purchase was not required to be reported pursuant to Section 16(a), and also includes 252 shares received as an Issuer match under the Issuer's 401K Plan on December 27, 2016 and not required to be reported.
- F2Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on October 7, 2016.