Filing Details
- Accession Number:
- 0001417327-11-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-11 17:47:02
- Reporting Period:
- 2011-02-08
- Filing Date:
- 2011-02-11
- Accepted Time:
- 2011-02-11 17:47:02
- 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 |
|---|---|---|---|---|---|---|---|
| 1320159 | Douglas James Haynes | 2584 Junction Avenue San Jose CA 95134 | Chief Operating Officer | No | Yes | 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 | 2011-02-08 | 36,000 | $3.50 | 86,996 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-08 | 36,000 | $15.35 | 50,996 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-10 | 259 | $16.40 | 50,737 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-02-08 | 36,000 | $0.00 | 36,000 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 76,000 | 2010-08-15 | 2019-08-15 | No | 4 | M | Direct |
Footnotes
- Non-market, exempted acquisition of shares of common stock upon the exercise of an employee stock option for cash.
- Non-market, exempted disposition of a vested employee stock option upon its exercise.
- The price range for sales of these shares was between $15.07 to $15.61. Upon appropriate request, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- Sale of 259 shares pursuant to a Rule 10b5-1 trading plan to satisfy tax obligations arising in connection with the non-reportable vesting of restricted stock awards.
- The price range for sales of these shares was between $16.38 to $16.41. Upon appropriate request, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Billionaire Hedge Funds
