Filing Details
- Accession Number:
- 0001417327-11-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-17 21:37:39
- Reporting Period:
- 2011-08-15
- Filing Date:
- 2011-08-17
- Accepted Time:
- 2011-08-17 21:37:39
- 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 |
|---|---|---|---|---|---|---|---|
| 1142616 | A Alain Couder | 2560 Junction Avenue San Jose CA 95134 | Chairman, Ceo | Yes | 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 | 2011-08-15 | 50,000 | $0.00 | 184,644 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-08-15 | 305 | $4.08 | 184,339 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-08-17 | 9,671 | $3.76 | 174,668 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | 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 | Stock Option (Right to Buy) | Acquisiton | 2011-08-15 | 70,000 | $0.00 | 70,000 | $4.33 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 70,000 | 2012-08-15 | 2021-08-15 | No | 4 | A | Direct |
Footnotes
- The restricted award vests 25% on the one year anniversary, then 6.25% every 3 month period thereafter.
- Sale of 305 shares pursuant to a Rule 10b5-1 trading plan to satisfy tax obligations arising in connection with the vesting of previously granted and reported restricted stock awards.
- The price range for sales of these shares was between $4.0701 to $4.0801. Upon appropriate request, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- Sale of 9,671 shares to satisfy tax obilgations arising in connection with the vesting of previously granted and reported restricted stock awards.
- The price range for sales of these shares was between $3.75 to $3.78. Upon appropriate request, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- The option vests 25% on the one year anniversary, then 36 equal monthly installments thereafter.
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