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
  1. Exercise of Derivative Security.
  2. Sale subject to Rule 144.
  3. 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.
  4. Withholding of 14,479 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards.
  5. 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.
  6. 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.