0001094739-18-000014.txt : 20180202
0001094739-18-000014.hdr.sgml : 20180202
20180202174700
ACCESSION NUMBER: 0001094739-18-000014
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180131
FILED AS OF DATE: 20180202
DATE AS OF CHANGE: 20180202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RAWLS JERRY S
CENTRAL INDEX KEY: 0001194537
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27999
FILM NUMBER: 18572141
MAIL ADDRESS:
STREET 1: 1308 MOFFETT PARK DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089-1133
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
4
1
wf-form4_151761160613730.xml
FORM 4
X0306
4
2018-01-31
0
0001094739
FINISAR CORP
FNSR
0001194537
RAWLS JERRY S
1389 MOFFETT PARK DRIVE
C/O CORPORATE SECRETARY
SUNNYVALE
CA
94089-1133
1
0
0
0
Common Stock
2018-01-31
4
F
0
207305
17.96
D
563258
D
Common Stock
2018-02-01
4
M
0
30209
3.36
A
593467
D
Common Stock
2018-02-01
4
S
0
30209
17.9416
D
563258
D
Stock Option (Right to Buy)
3.36
2018-02-01
4
M
0
30209
0
D
2009-12-12
2018-12-12
Common Stock
30209.0
90624
D
On January 31, 2018, the Reporting Person vested in: (1) 39,839 restricted stock units ("RSUs") and as a result acquired 39,839 shares of common stock of the Issuer pursuant to the Reporting Person's June 17, 2014 grant of RSUs; (2) 80,890 RSUs and as a result acquired 80,890 shares of common stock of the Issuer pursuant to the Reporting Person's June 23, 2015 grant of RSUs; (3) 140,479 RSUs and as a result acquired 140,479 shares of common stock of the Issuer pursuant to the Reporting Person's June 21, 2016 grant of RSUs; and (4) 128,062 RSUs and as a result acquired 128,062 shares of common stock of the Issuer pursuant to the Reporting Person's June 20, 2017 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.
Includes 375 shares received as an Issuer match under the Issuer's 401K Plan on December 18, 2017 and not required to be reported.
Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.74 to $18.05 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.
/s/ Christopher Brown as Attorney-in-fact for
2018-02-02