SEC Form 4/A · accession 0001444157-15-000006
CIENA CORP · CIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David M Rothenstein
Officer — Sr. VP, General Counsel
Period of report
Mar 23, 2015
Accepted (ET)
Apr 1, 2015 · 5:28 pm 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,F2 | Mar 23, 2015 | D | 842 | $20.4002 | D | 261,152 | D | |
| Common StockF3,F2 | Mar 23, 2015 | D | 768 | $20.4001 | D | 260,384 | D | |
| Common StockF4,F2 | Mar 23, 2015 | D | 619 | $20.3988 | D | 259,765 | D | |
| Common StockF5,F2 | Mar 23, 2015 | D | 414 | $20.40 | D | 259,351 | D | |
| Common StockF1,F2 | Mar 23, 2015 | D | 230 | $20.3992 | D | 259,121 | 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).
- 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 12/15/2011. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2011.
- 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 12/17/2013. Acquisition of the RSU was previously reported in Table I of reporting person's Form 4 on 12/19/2013.