Filing Details
- Accession Number:
- 0001417327-11-000028
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-17 21:38:15
- Reporting Period:
- 2011-08-15
- Filing Date:
- 2011-08-17
- Accepted Time:
- 2011-08-17 21:38:15
- 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 | 2560 Junction Avenue San Jose CA 95134 | Pres & Gm, Photonics Comp. | 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 | 2011-08-15 | 20,000 | $0.00 | 75,084 | No | 4 | A | Direct | |
Common Stock | Disposition | 2011-08-17 | 6,355 | $3.77 | 68,729 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | 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 | 20,000 | $0.00 | 20,000 | $4.33 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
20,000 | 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 6,355 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 $3.785. 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.