0001214659-17-001163.txt : 20170214
0001214659-17-001163.hdr.sgml : 20170214
20170214194826
ACCESSION NUMBER: 0001214659-17-001163
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: Mangan Pete J
CENTRAL INDEX KEY: 0001424061
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30684
FILM NUMBER: 17612379
MAIL ADDRESS:
STREET 1: 3408 GARRETT DRIVE
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
4
1
marketforms-37922.xml
PRIMARY DOCUMENT
X0306
4
2017-02-10
0001110647
OCLARO, INC.
OCLR
0001424061
Mangan Pete J
225 CHARCOT AVENUE
SAN JOSE
CA
95131
false
true
false
false
Chief Financial Officer
Common Stock
2017-02-10
4
M
false
45000
2.55
A
481332
D
Common Stock
2017-02-10
4
M
false
12000
2.56
A
493332
D
Common Stock
2017-02-10
4
S
false
133363
9.2186
D
359969
D
Common Stock
2017-02-10
4
F
false
14479
9.49
D
345490
D
Stock Option (Right to Buy)
2.55
2017-02-10
4
M
false
45000
0
D
2024-01-14
Common Stock
45000
15000
D
Stock Option (Right to Buy)
2.56
2017-02-10
4
M
false
12000
0
D
2022-06-11
Common Stock
12000
0
D
Exercise of Derivative Security.
Sale subject to Rule 144.
This transaction was executed in multiple trades at prices ranging from $9.125 to $9.52. 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 14,479 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 January 14, 2014 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 June 11, 2012 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 Teichman, Attorney-in-Fact
2017-02-14