0001214659-17-001162.txt : 20170214 0001214659-17-001162.hdr.sgml : 20170214 20170214194756 ACCESSION NUMBER: 0001214659-17-001162 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170210 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OCLARO, INC. CENTRAL INDEX KEY: 0001110647 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 201303994 STATE OF INCORPORATION: DE FISCAL YEAR END: 0702 BUSINESS ADDRESS: STREET 1: 225 CHARCOT AVENUE CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: (408) 383-1400 MAIL ADDRESS: STREET 1: 225 CHARCOT AVENUE CITY: SAN JOSE STATE: CA ZIP: 95131 FORMER COMPANY: FORMER CONFORMED NAME: BOOKHAM, INC. DATE OF NAME CHANGE: 20090424 FORMER COMPANY: FORMER CONFORMED NAME: OCLARO, INC. DATE OF NAME CHANGE: 20090423 FORMER COMPANY: FORMER CONFORMED NAME: BOOKHAM, INC. DATE OF NAME CHANGE: 20040929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Le Maitre Yves CENTRAL INDEX KEY: 0001334769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30684 FILM NUMBER: 17612378 MAIL ADDRESS: STREET 1: C/O AVANEX CORPORATION STREET 2: 40919 ENCYCLOPEDIA CIRCLE CITY: FREMONT STATE: CA ZIP: 94538 4 1 marketforms-37861.xml PRIMARY DOCUMENT X0306 4 2017-02-10 0001110647 OCLARO, INC. OCLR 0001334769 Le Maitre Yves 225 CHARCOT AVENUE SAN JOSE CA 95131 false true false false Pres., Optical Connect. Bus. Common Stock 2017-02-10 4 M false 20000 4.33 A 426468 D Common Stock 2017-02-10 4 M false 25876 3.5 A 452344 D Common Stock 2017-02-10 4 M false 7876 3.1 A 460220 D Common Stock 2017-02-10 4 S false 178723 9.2768 D 281497 D Common Stock 2017-02-10 4 S false 82156 9.2496 D 199341 D Common Stock 2017-02-10 4 F false 11544 9.49 D 187797 D Stock Options (Right to Buy) 4.33 2017-02-10 4 M false 20000 0 D 2021-08-15 Common Stock 20000 0 D Stock Options (Right to Buy) 3.5 2017-02-10 4 M false 25876 0 D 2019-08-15 Common Stock 25876 0 D Stock Options (Right to Buy) 3.1 2017-02-10 4 M false 7876 0 D 2019-05-13 Common Stock 7876 0 D Exercise of Derivative Security. Sale subject to Rule 144. This transaction was executed in multiple trades at prices ranging from $9.20 to $9.40. 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. This transaction was executed in multiple trades at prices ranging from $9.16 to $9.46. 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. Withholding of 11,544 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of August 15, 2011 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. Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of August 15, 2009 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. Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of May 13, 2009 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. David Teichmann, Attorney-in-Fact 2017-02-14