SEC Form 4 · accession 0001094739-18-000114
FINISAR CORP · FNSR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Sheridan Eng
Officer — EVP and GM, 3D Sensing
Period of report
Dec 15, 2018
Accepted (ET)
Dec 18, 2018 · 7:14 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 StockF2 | Dec 15, 2018 | F | 1,466 | $21.75 | D | 88,976 | D | |
| Common StockF4 | Dec 18, 2018 | S | 1,489 | $21.7377 | D | 87,487 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On December 15, 2018, the Reporting Person vested in 2,955 restricted stock units ("RSUs") and as a result acquired 2,955 shares of common stock of the Issuer pursuant to the Reporting Person's December 15, 2015 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person.
- F2Includes 71 shares purchased under the Issuer's Employee Stock Purchase Plan on December 15, 2018 and such purchase was not required to be reported pursuant to Section 16(a).
- F3Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on March 19, 2018.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.66 to $21.94 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.