SEC Form 4 · accession 0001214659-18-005612
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 15, 2018
Accepted (ET)
Aug 17, 2018 · 7:05 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 15, 2018 | M | 6,000 | $9.07 | A | 370,462 | D | |
| Common Stock | Aug 15, 2018 | F | 5,888 | $9.07 | D | 364,574 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $8.90 | Aug 15, 2018 | M | 6,000 | D | — | Aug 15, 2018 | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1Withholding of 5,888 shares to satisfy tax obligations and option cost arising in connection with the exercise of the stock options.
- F2The stock options fully vested on August 15, 2012.