SEC Form 4 · accession 0001275606-17-000028
CIENA CORP · CIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary B Smith
Officer — PRESIDENT, CEO · Director
Period of report
Dec 21, 2017
Accepted (ET)
Dec 26, 2017 · 4:41 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 21, 2017 | S | 2,894 | $21.22 | D | 844,764 | D | |
| Common StockF3,F2 | Dec 21, 2017 | S | 3,842 | $21.22 | D | 840,922 | D | |
| Common StockF4,F2 | Dec 21, 2017 | S | 2,818 | $21.22 | D | 838,104 | D | |
| Common StockF5,F2 | Dec 21, 2017 | S | 3,032 | $21.22 | D | 835,072 | D | |
| Common StockF6,F2 | Dec 21, 2017 | S | 15,709 | $21.22 | D | 819,363 | D | |
| Common StockF6,F2 | Dec 21, 2017 | S | 9,449 | $21.22 | D | 809,914 | D | |
| Common StockF7,F2 | Dec 21, 2017 | S | 41,184 | $21.22 | D | 768,730 | D | |
| Common StockF7,F2 | Dec 21, 2017 | S | 12,983 | $21.22 | D | 755,747 | D | |
| Common StockF8,F2 | Dec 21, 2017 | S | 11,033 | $21.22 | D | 744,714 | D | |
| Common StockF8,F2 | Dec 21, 2017 | S | 10,791 | $21.22 | D | 733,923 | 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 12/17/2013. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2013.
- 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 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.
- 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 12/15/2015. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/17/2015.
- 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 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.
- 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 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 12/14/2016.
- 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 12/17/2014. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/17/2015.
- 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 12/14/2016. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/14/2017.