SEC Form 4 · accession 0001140361-15-006764
VIAVI SOLUTIONS INC. · VIAV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Martin A Kaplan
Director
Period of report
Nov 14, 2014
Accepted (ET)
Feb 13, 2015 · 9:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000912093
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 14, 2014 | M | 3,526 | $0.00 | A | 52,684 | D | |
| Common Stock | Nov 15, 2014 | M | 4,726 | $0.00 | A | 57,410 | D | |
| Common Stock | Nov 17, 2014 | M | 4,329 | $0.00 | A | 61,739 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | $0.00 | Nov 14, 2014 | M | 3,526 | D | Nov 14, 2014 | — | Common Stock | 3,526 | 7,052 | D |
| Restricted Stock UnitF1 | $0.00 | Nov 15, 2014 | M | 4,726 | D | Nov 15, 2014 | — | Common Stock | 4,726 | 4,726 | D |
| Restricted Stock UnitF1 | $0.00 | Nov 17, 2014 | M | 4,329 | D | Nov 17, 2014 | — | Common Stock | 4,329 | 4,329 | D |
Explanation of responses
- F1Each unit converts upon vesting into one share of common stock.