SEC Form 4 · accession 0001214659-17-003297
OCLARO, INC. · OCLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael H Fernicola
Officer — Principal Accounting Officer
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 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 | May 10, 2017 | F | 3,053 | $8.94 | D | 61,292 | D | |
| Common StockF3 | May 12, 2017 | S | 5,067 | $8.7746 | D | 56,225 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Withholding of 3,053 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards.
- F2Sale subject to Rule 144. Sale of shares pursuant to a Rule 10b5-1 trading plan.
- F3This transaction was executed in multiple trades at prices ranging from $8.63 to $8.87. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.