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