0001094739-17-000061.txt : 20170621 0001094739-17-000061.hdr.sgml : 20170621 20170621185957 ACCESSION NUMBER: 0001094739-17-000061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170619 FILED AS OF DATE: 20170621 DATE AS OF CHANGE: 20170621 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FINISAR CORP CENTRAL INDEX KEY: 0001094739 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943038428 STATE OF INCORPORATION: DE FISCAL YEAR END: 0503 BUSINESS ADDRESS: STREET 1: 1389 MOFFETT PARK DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085481000 MAIL ADDRESS: STREET 1: 1389 MOFFETT PARK DR CITY: SUNNYVALE STATE: CA ZIP: 94089 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eng Julie Sheridan CENTRAL INDEX KEY: 0001661122 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27999 FILM NUMBER: 17923761 MAIL ADDRESS: STREET 1: 1389 MOFFETT PARK DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 wf-form4_149808598251269.xml FORM 4 X0306 4 2017-06-19 0 0001094739 FINISAR CORP FNSR 0001661122 Eng Julie Sheridan 1389 MOFFETT PARK DRIVE SUNNYVALE CA 94089-1133 0 1 0 0 EVP Datacom Engineering Common Stock 2017-06-19 4 S 0 749 27.93 D 69596 D Common Stock 2017-06-19 4 F 0 5260 27.58 D 64336 D Common Stock 2017-06-20 4 A 0 27584 0 A 91920 D Common Stock 2017-06-21 4 S 0 4827 27.1639 D 87093 D Common Stock 2017-06-21 4 F 0 3405 27.13 D 83688 D Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on January 6, 2017. Includes 749 shares purchased under the Issuer's Employee Stock Purchase Plan on June 15, 2017 and such purchase was not required to be reported pursuant to Section 16(a). On June 19, 2017, the Reporting Person vested in 10,087 restricted stock units ("RSUs") and as a result acquired 10,087 shares of common stock of the Issuer pursuant to the Reporting Person's June 21, 2016 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. These shares represent restricted stock units granted to the Reporting Person and shall vest in four equal annual installments beginning on June 25, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.91 to $27.29 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. On June 21, 2017, the Reporting Person vested in 6,524 restricted stock units ("RSUs") and as a result acquired 6,524 shares of common stock of the Issuer pursuant to the Reporting Person's June 21, 2016 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. /s/ Christopher Brown as Attorney-in-fact for 2017-06-21