0001094739-18-000093.txt : 20180921
0001094739-18-000093.hdr.sgml : 20180921
20180921190436
ACCESSION NUMBER: 0001094739-18-000093
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180622
FILED AS OF DATE: 20180921
DATE AS OF CHANGE: 20180921
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Eng Julie Sheridan
CENTRAL INDEX KEY: 0001661122
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27999
FILM NUMBER: 181082427
MAIL ADDRESS:
STREET 1: 1389 MOFFETT PARK DRIVE
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
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/A
1
wf-form4a_153757105828857.xml
FORM 4/A
X0306
4/A
2018-06-22
2018-06-26
0
0001094739
FINISAR CORP
FNSR
0001661122
Eng Julie Sheridan
1389 MOFFETT PARK DRIVE
SUNNYVALE
CA
94089-1133
0
1
0
0
EVP and GM, 3D Sensing
Common Stock
2018-06-22
4
S
0
8374
17.2664
D
101186
D
Common Stock
2018-06-23
4
F
0
1944
17.33
D
99242
D
Common Stock
2018-06-25
4
F
0
3420
17.18
D
95822
D
Common Stock
2018-06-26
4
S
0
5451
17.0822
D
90371
D
Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on March 19, 2018.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.10 to $17.77 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.
This Form 4/A corrects the "Amount of Securities Beneficially Owned Following Reported Transactions", which were incorrect as the result of an inadvertent error understating by 11,822 shares the Amount of Securities Beneficially Owned Following Reported Transactions reported on a Form 4 filed by the reporting person on January 7, 2016. All of the reporting person's intervening reports on Form 4 contain the same understatement error.
On June 23, 2018, the Reporting Person vested in 3,919 restricted stock units ("RSUs") and as a result acquired 3,919 shares of common stock of the Issuer pursuant to the Reporting Person's June 17, 2014 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.
On June 25, 2018, the Reporting Person vested in 6,896 restricted stock units ("RSUs") and as a result acquired 6,896 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.92 to $17.18 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
2018-09-21