SEC Form 4 · accession 0001214659-15-001226
OCLARO, INC. · OCLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yves Le Maitre
Officer — Pres., Optical Connect. Bus.
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 8:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001110647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 10, 2015 | F | 684 | $1.81 | D | 176,896 | D | |
| Common Stock | Feb 10, 2015 | F | 3,503 | $1.81 | D | 173,393 | D | |
| Common StockF4 | Feb 11, 2015 | F | 1,186 | $1.7067 | D | 172,207 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Withholding of 684 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock awards.
- F2Withholding of 3,503 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock units.
- F3Sale of 1,186 shares pursuant to a Rule 10b5-1 trading plan to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock awards.
- F4The price range for sales of these shares was between $1.6900 to $1.7200. Upon appropriate request, the Reporting Person will provide full information regarding the number of shares sold at each separate price.