Filing Details
- Accession Number:
- 0001417327-11-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-11 17:48:41
- Reporting Period:
- 2011-02-08
- Filing Date:
- 2011-02-11
- Accepted Time:
- 2011-02-11 17:48:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1419484 | Scott Parker | 2584 Junction Avenue San Jose CA 95134 | Exec. V Pres. Sales & Marcom | 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 | 20,574 | $0.75 | 41,108 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-08 | 20,574 | $15.21 | 20,534 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-08 | 5,833 | $3.10 | 26,367 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-08 | 5,833 | $15.21 | 20,534 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-08 | 9,916 | $3.50 | 30,450 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-08 | 9,916 | $15.21 | 20,534 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-08 | 3,843 | $6.80 | 24,377 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-08 | 3,843 | $15.21 | 20,534 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 20,574 | $0.00 | 20,574 | $0.75 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-02-08 | 5,833 | $0.00 | 5,833 | $3.10 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-02-08 | 9,916 | $0.00 | 9,916 | $3.50 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-02-08 | 3,843 | $0.00 | 3,843 | $6.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,408 | 2009-11-21 | 2018-11-21 | No | 4 | M | Direct |
| 8,167 | 2010-05-13 | 2019-05-13 | No | 4 | M | Direct |
| 18,084 | 2010-08-15 | 2019-08-15 | No | 4 | M | Direct |
| 8,456 | 2010-12-02 | 2019-12-02 | No | 4 | M | Direct |
Footnotes
- Non-market, exempted disposition of a vested employee stock option upon its exercise.
- Non-market, exempted acquisition of shares of common stock upon the exercise of an employee stock option for cash.
- The price range for sales of these shares was between $15.00 to $15.55. Upon appropriate request, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
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