SEC Form 4 · accession 0001177261-18-000115
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 20, 2018
Accepted (ET)
Dec 26, 2018 · 5:58 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 | Dec 20, 2018 | F | 770 | $32.91 | D | 306,226 | D | |
| Common StockF1,F2 | Dec 20, 2018 | F | 4,158 | $32.91 | D | 302,068 | D | |
| Common StockF3,F2 | Dec 20, 2018 | F | 1,647 | $32.91 | D | 300,421 | D | |
| Common StockF3,F2 | Dec 20, 2018 | F | 1,611 | $32.91 | D | 298,810 | D | |
| Common StockF4,F2 | Dec 20, 2018 | F | 974 | $32.91 | D | 297,836 | D | |
| Common StockF4,F2 | Dec 20, 2018 | F | 1,618 | $32.91 | D | 296,218 | D | |
| Common StockF5,F2 | Dec 20, 2018 | F | 612 | $32.91 | D | 295,606 | D | |
| Common StockF6,F2 | Dec 20, 2018 | F | 867 | $32.91 | D | 294,739 | D | |
| Common StockF7,F2 | Dec 20, 2018 | F | 679 | $32.91 | D | 294,060 | D | |
| Common StockF8,F2 | Dec 20, 2018 | F | 562 | $32.91 | D | 293,498 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a performance stock unit (PSU) award agreement dated 12/12/2017. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/20/2018.
- F2Shares reported include unvested Restricted Stock Units (RSUs) and Performance Stock Units (PSUs).
- F3Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a performance stock unit (PSU) award agreement dated 12/14/2016. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/14/2017.
- F4Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a performance stock unit (PSU) award agreement dated 12/15/2015. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/16/2016.
- F5Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/15/2015. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/17/2015
- F6Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/12/2017. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/14/2017.
- F7Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/14/2016. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/16/2016.
- F8Represents shares withheld to cover payment of the tax liabilities of the reporting person 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.