SEC Form 4 · accession 0001094739-17-000012
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
Feb 15, 2017
Accepted (ET)
Feb 17, 2017 · 4:14 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 15, 2017 | M | 1,259 | $8.29 | A | 239,067 | D | |
| Common Stock | Feb 15, 2017 | S | 6,183 | $35.74 | D | 232,884 | 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 15, 2017 | M | 1,259 | D | Dec 8, 2011 | Dec 8, 2019 | Common Stock | 1,259 | 38,645 | D |
Explanation of responses
- F1Includes 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 June 21, 2016.