SEC Form 4 · accession 0001094739-17-000053
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
Jun 16, 2017
Accepted (ET)
Jun 20, 2017 · 3:50 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 StockF1 | Jun 16, 2017 | M | 1,259 | $8.29 | A | 220,173 | D | |
| Common Stock | Jun 16, 2017 | S | 6,183 | $27.65 | D | 213,990 | 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 | Jun 16, 2017 | M | 1,259 | D | Dec 8, 2011 | Dec 8, 2019 | Common Stock | 1,259 | 33,609 | D |
Explanation of responses
- F1Includes 802 shares purchased under the Issuer's Employee Stock Purchase Plan on June 15, 2017 and such purchase was not required to be reported pursuant to Section 16(a).
- F2Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on June 21, 2016.