SEC Form 4 · accession 0001607125-15-000003
CIENA CORP · CIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen B Alexander
Officer — Sr VP Chief Technology Officer
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 8:47 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 | Sep 1, 2015 | M | 3,750 | $16.52 | A | 142,932 | D | |
| Common StockF2,F3 | Sep 1, 2015 | S | 3,750 | $21.94 | D | 139,182 | 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)F4 | $16.52 | Sep 1, 2015 | M | 3,750 | D | — | Nov 2, 2015 | Common Stock | 3,750 | 9,285 | D |
Explanation of responses
- F1Shares reported include unvested Restricted Stock Units (RSUs).
- F2Sales were effected pursuant to Rule 10b5-1 trading plan dated 09/19/14, as amended.
- F3Shares reported include unvested Restricted Stock Units (RSUs).
- F4Option vests in equal monthly amounts over 48 months beginning on November 1, 2005.