SEC Form 4 · accession 0001177261-15-000120

CIENA CORP · CIEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

James Frodsham

Officer — SR. VP, Chief Strategy Officer

Period of report

Dec 21, 2015

Accepted (ET)

Dec 23, 2015 · 2:39 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
Common Stock^F1,F2	Dec 21, 2015	S	1,111	$19.90	D	193,143	D
Common Stock^F3,F2	Dec 21, 2015	S	1,217	$19.90	D	191,926	D
Common Stock^F4,F2	Dec 21, 2015	S	3,245	$19.90	D	188,681	D
Common Stock^F4,F2	Dec 21, 2015	S	4,867	$19.90	D	183,814	D
Common Stock^F5,F2	Dec 21, 2015	S	750	$19.90	D	183,064	D
Common Stock^F5,F2	Dec 21, 2015	S	2,245	$19.90	D	180,819	D
Common Stock^F6,F2	Dec 21, 2015	S	599	$19.90	D	180,220	D
Common Stock^F7,F2	Dec 21, 2015	S	896	$19.90	D	179,324	D
Common Stock^F8,F2	Dec 21, 2015	S	6,397	$19.90	D	172,927	D
Common Stock^F8,F2	Dec 21, 2015	S	2,017	$19.90	D	170,910	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1RSU Tax Sales 12/15/2011 Award (Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a restricted stock unit) (RSU) award agreement dated 12/15/2011. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2011.)
F2Shares reported include unvested Restricted Stock Units (RSUs) and Performance Stock Units (PSUs).
F3RSU Tax Sales 12/18/12 Award (Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a restricted stock unit) (RSU) award agreement dated 12/18/2012. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/20/2012.)
F4Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to performance stock unit (PSU) award agreement dated 12/18/2012. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/19/2013.
F5Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a performance stock unit (PSU) award agreement dated 12/17/2013. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/19/2014.
F6RSU Tax Sales 12/17/13 Award (Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a restricted stock unit) (RSU) award agreement dated 12/17/2013. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2013.)
F7RSU tax sales 12/17/14 Award (Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a restricted stock unit (RSU) award agreement dated 12/17/2014. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2014.
F8Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a performance stock unit (PSU) award agreement dated 12/17/2014. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/17/2015.