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