SEC Form 4 · accession 0001214659-18-007081
OCLARO, INC. · OCLR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joel A Smith III
Director
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 | 229,691 | 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)F1 | $1.50 | Nov 9, 2018 | M | 1,447 | D | — | Nov 12, 2018 | Common Stock | 1,447 | 0 | D |
Explanation of responses
- F1The stock options fully vested on November 13, 2009.