Filing Details
- Accession Number:
- 0001214659-17-001163
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-14 19:48:26
- Reporting Period:
- 2017-02-10
- Filing Date:
- 2017-02-14
- Accepted Time:
- 2017-02-14 19:48:26
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1110647 | Oclaro Inc. | OCLR | Semiconductors & Related Devices (3674) | 201303994 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1424061 | J Pete Mangan | 225 Charcot Avenue San Jose CA 95131 | Chief Financial Officer | No | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2017-02-10 | 45,000 | $2.55 | 481,332 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2017-02-10 | 12,000 | $2.56 | 493,332 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-02-10 | 133,363 | $9.22 | 359,969 | No | 4 | S | Direct | |
Common Stock | Disposition | 2017-02-10 | 14,479 | $9.49 | 345,490 | No | 4 | F | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | F | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | Disposition | 2017-02-10 | 45,000 | $0.00 | 45,000 | $2.55 |
Common Stock | Stock Option (Right to Buy) | Disposition | 2017-02-10 | 12,000 | $0.00 | 12,000 | $2.56 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
15,000 | 2024-01-14 | No | 4 | M | Direct | |
0 | 2022-06-11 | No | 4 | M | Direct |
Footnotes
- Exercise of Derivative Security.
- Sale subject to Rule 144.
- This transaction was executed in multiple trades at prices ranging from $9.125 to $9.52. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Withholding of 14,479 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards.
- Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of January 14, 2014 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years.
- Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of June 11, 2012 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years.