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