SEC Form 4 · accession 0001275606-17-000034

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, 2017

Accepted (ET)

Dec 26, 2017 · 4:54 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	4,459	$21.22	D	307,985	D
Common Stock^F3,F2	Dec 21, 2017	S	672	$21.22	D	307,313	D
Common Stock^F4,F2	Dec 21, 2017	S	617	$21.22	D	306,696	D
Common Stock^F5,F2	Dec 21, 2017	S	722	$21.22	D	305,974	D
Common Stock^F6,F2	Dec 21, 2017	S	413	$21.22	D	305,561	D
Common Stock^F7,F2	Dec 21, 2017	S	1,501	$21.22	D	304,060	D
Common Stock^F1,F2	Dec 21, 2017	S	1,948	$21.22	D	302,112	D
Common Stock^F8,F2	Dec 21, 2017	S	3,074	$21.22	D	299,038	D
Common Stock^F9,F2	Dec 21, 2017	S	1,752	$21.22	D	297,286	D
Common Stock^F9,F2	Dec 21, 2017	S	1,714	$21.22	D	295,572	D
Common Stock^F7,F2	Dec 21, 2017	S	2,494	$21.22	D	293,078	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 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.
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 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.
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 12/14/2016.
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 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 12/14/2017.
F9Shares 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.