SEC Form 4 · accession 0001214659-18-007076
OCLARO, INC. · OCLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg Dougherty
Officer — Chief Executive Officer
Period of report
Nov 9, 2018
Accepted (ET)
Nov 13, 2018 · 7:05 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 | Nov 9, 2018 | M | 1,447 | $1.50 | A | 1,245,418 | D | |
| Common Stock | Nov 9, 2018 | F | 590 | $8.43 | D | 1,244,828 | D | |
| Common Stock | Nov 10, 2018 | F | 17,353 | $8.43 | D | 1,227,475 | 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)F3 | $1.50 | Nov 9, 2018 | M | 1,447 | D | — | Nov 12, 2018 | Common Stock | 1,447 | 0 | D |
Explanation of responses
- F1Withholding of 590 shares to satisfy tax obligations and option cost arising in connection with the exercise of the stock options.
- F2Withholding of 17,353 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards.
- F3The stock options fully vested on November 13, 2009.