SEC Form 4 · accession 0001214659-15-006004
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
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 7:12 pm EDT
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 | Aug 10, 2015 | F | 587 | $2.72 | D | 163,646 | D | |
| Common Stock | Aug 10, 2015 | F | 752 | $2.72 | D | 162,894 | D | |
| Common Stock | Aug 10, 2015 | A | 90,000 | $0.00 | A | 252,894 | D | |
| Common Stock | Aug 11, 2015 | F | 984 | $2.7042 | D | 251,910 | D | |
| Common Stock | Aug 11, 2015 | F | 6,264 | $2.70 | D | 245,646 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Withholding of 587 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock awards
- F2Withholding of 752 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock units.
- F3Represents a grant of restricted stock units, which vests 33.4% on the one year anniversary of the date of grant and 8.325% every 3 months thereafter.
- F4Sale of 984 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.
- F5Withholding of 6,264 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock units.