SEC Form 4 · accession 0001094739-18-000023
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry S Rawls
Director
Period of report
May 1, 2018
Accepted (ET)
May 3, 2018 · 5:12 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 | May 1, 2018 | M | 30,208 | $3.36 | A | 593,466 | D | |
| Common StockF2 | May 1, 2018 | S | 30,208 | $15.5901 | D | 563,258 | 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) | $3.36 | May 1, 2018 | M | 30,208 | D | Dec 12, 2009 | Dec 12, 2018 | Common Stock | 30,208 | 60,416 | D |
Explanation of responses
- F1Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.45 to $15.75 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.