SEC Form 4 · accession 0001214659-15-006006
OCLARO, INC. · OCLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Douglas Haynes
Officer — Chief Operating Officer
Period of report
Aug 10, 2015
Accepted (ET)
Aug 12, 2015 · 7:13 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 | 940 | $2.72 | D | 161,814 | D | |
| Common Stock | Aug 10, 2015 | A | 70,000 | $0.00 | A | 231,814 | D | |
| Common Stock | Aug 11, 2015 | F | 10,133 | $2.70 | D | 221,681 | D | |
| Common Stock | Aug 11, 2015 | F | 1,584 | $2.7032 | D | 220,097 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Withholding of 940 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock units.
- F2Represents 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.
- F3Withholding of 10,133 shares to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock units.
- F4Sale of 1,584 shares pursuant to a Rule 10b5-1 trading plan to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock units.