SEC Form 4 · accession 0001215181-15-000022
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
Apr 22, 2015
Accepted (ET)
Apr 24, 2015 · 10:20 am EDT
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 | Apr 22, 2015 | M | 3,571 | $17.43 | A | 261,192 | D | |
| Common StockF2,F1 | Apr 22, 2015 | S | 3,571 | $22.00 | D | 257,621 | D | |
| Common StockF1 | Apr 22, 2015 | M | 3,571 | $16.52 | A | 261,192 | D | |
| Common StockF2,F1 | Apr 22, 2015 | S | 3,571 | $22.00 | D | 257,621 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3 | $16.52 | Apr 22, 2015 | M | 3,571 | D | — | Jun 10, 2015 | Common Stock | 3,571 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $17.43 | Apr 22, 2015 | M | 3,571 | D | — | Oct 26, 2015 | Common Stock | 3,571 | 0 | D |
Explanation of responses
- F1Shares reported include unvested Restricted Stock Units (RSUs).
- F2Sales were effected pursuant to Rule 10b5-1 trading plan dated 1/15/2015.
- F3Option is fully vested.