SEC Form 4 · accession 0001177269-16-000021

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, 2016

Accepted (ET)

Dec 23, 2016 · 11:50 am 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, 2016	S	837	$24.67	D	303,740	D
Common Stock^F1,F2	Dec 21, 2016	S	229	$24.67	D	303,511	D
Common Stock^F3,F2	Dec 21, 2016	S	516	$24.67	D	302,995	D
Common Stock^F3,F2	Dec 21, 2016	S	1,545	$24.67	D	301,450	D
Common Stock^F4,F2	Dec 21, 2016	S	412	$24.67	D	301,038	D
Common Stock^F5,F2	Dec 21, 2016	S	6,173	$24.67	D	294,865	D
Common Stock^F5,F2	Dec 21, 2016	S	1,946	$24.67	D	292,919	D
Common Stock^F6,F2	Dec 21, 2016	S	652	$24.67	D	292,267	D
Common Stock^F7,F2	Dec 21, 2016	S	1,500	$24.67	D	290,767	D
Common Stock^F7,F2	Dec 21, 2016	S	2,492	$24.67	D	288,275	D
Common Stock^F8,F2	Dec 21, 2016	S	671	$24.67	D	287,604	D

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1Shares 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.
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 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.
F4Shares 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.
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 12/17/2014. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/17/2015.
F6Shares 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.
F7Shares 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 12/15/2015. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/16/2016.
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 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.