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