SEC Form 4 · accession 0001032553-16-000070
CIENA CORP · CIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary B Smith
Officer — PRESIDENT, CEO · Director
Period of report
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 2:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000936395
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Nov 17, 2016 | S | 4,000 | $21.9425 | D | 686,524 | D | |
| Common StockF1,F4,F3 | Nov 18, 2016 | S | 4,000 | $21.9379 | D | 682,524 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sales were effected pursuant to Rule 10b5-1 trading plan dated 9/21/2015, amended 3/24/2016.
- F2Reflects the weighted average sales price with transactions in a range of sales from $21.77 to $22.055. Upon request by the SEC, full information regarding the number of shares sold at each separate sales price will be provided.
- F3Shares reported include unvested Restricted Stock Units (RSUs) and Performance Stock Units (PSUs).
- F4Reflects the weighted average sales price with transactions in a range of sales from $21.85 to $22.14. Upon request by the SEC, full information regarding the number of shares sold at each separate sales price will be provided.