SEC Form 4 · accession 0001177261-15-000129

CIENA CORP · CIEN

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

Reporting owner

David M Rothenstein

Officer — Sr. VP, General Counsel

Period of report

Dec 21, 2015

Accepted (ET)

Dec 23, 2015 · 2:55 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	764	$19.90	D	313,499	D
Common Stock^F3,F2	Dec 21, 2015	S	4,265	$19.90	D	309,234	D
Common Stock^F3,F2	Dec 21, 2015	S	2,229	$19.90	D	307,005	D
Common Stock^F4,F2	Dec 21, 2015	S	1,172	$19.90	D	305,833	D
Common Stock^F4,F2	Dec 21, 2015	S	321	$19.90	D	305,512	D
Common Stock^F5,F2	Dec 21, 2015	S	2,163	$19.90	D	303,349	D
Common Stock^F5,F2	Dec 21, 2015	S	723	$19.90	D	302,626	D
Common Stock^F6,F2	Dec 21, 2015	S	577	$19.90	D	302,049	D
Common Stock^F7,F2	Dec 21, 2015	S	863	$19.90	D	301,186	D
Common Stock^F8,F2	Dec 21, 2015	S	1,943	$19.90	D	299,243	D
Common Stock^F8,F2	Dec 21, 2015	S	6,163	$19.90	D	293,080	D
Common Stock^F8,F2	Dec 21, 2015	S	3,066	$19.90	D	290,014	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1RSU Taxes - 12/15/2011 (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).
F3Shares 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.
F4RSU Tax Sales 12/18/12 (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.)
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 grant (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.