SEC Form 4 · accession 0001275606-17-000030

CIENA CORP · CIEN

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

Reporting owner

James Frodsham

Officer — SR. VP, Chief Strategy Officer

Period of report

Dec 21, 2017

Accepted (ET)

Dec 26, 2017 · 4:51 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, 2017	S	476	$21.22	D	199,574	D
Common Stock^F3,F2	Dec 21, 2017	S	672	$21.22	D	198,902	D
Common Stock^F4,F2	Dec 21, 2017	S	636	$21.22	D	198,266	D
Common Stock^F5,F2	Dec 21, 2017	S	722	$21.22	D	197,544	D
Common Stock^F6,F2	Dec 21, 2017	S	2,494	$21.22	D	195,050	D
Common Stock^F6,F2	Dec 21, 2017	S	1,501	$21.22	D	193,549	D
Common Stock^F7,F2	Dec 21, 2017	S	1,714	$21.22	D	191,835	D
Common Stock^F7,F2	Dec 21, 2017	S	1,752	$21.22	D	190,083	D
Common Stock^F8,F2	Dec 21, 2017	S	4,543	$21.22	D	185,540	D
Common Stock^F8,F2	Dec 21, 2017	S	1,802	$21.22	D	183,738	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 12/15/2015. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/17/2015.
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 12/17/2014. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2014.
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 12/14/2016. The earning of the PSU was previously reported on Table I of reporting person's Form 4 on 12/14/2017.
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.