0001094739-19-000098.txt : 20190925 0001094739-19-000098.hdr.sgml : 20190925 20190925215211 ACCESSION NUMBER: 0001094739-19-000098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190924 FILED AS OF DATE: 20190925 DATE AS OF CHANGE: 20190925 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: 191115445 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: 0428 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_156946271568672.xml FORM 4 X0306 4 2019-09-24 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 2019-09-24 4 D 0 21239 23.80 D 71982 D Common Stock 2019-09-24 4 D 0 71982 0 D 0 D Performance Restricted Stock Unit 0.0 2019-09-24 4 D 0 11972 23.87 D 2018-08-05 2022-05-06 Common Stock 11972.0 34833 D Performance Restricted Stock Unit 0.0 2019-09-24 4 E 0 34833 0 D 2018-08-05 2022-05-06 Common Stock 34833.0 0 D These shares were disposed of pursuant to the Agreement and Plan of Merger by and among II-VI Incorporated ("II-VI"), Mutation Merger Sub Inc., and Finisar Corporation, dated as of November 8, 2018 (the "Merger Agreement"), whereby 21,239 of such shares were automatically cancelled and converted into the right to receive, for each such share, 0.2218 shares of II-VI common stock and $15.60 in cash. The remaining 71,982 of such shares consisted of unvested restricted stock units ("RSUs") granted by the issuer (each of which represented the right to receive a share of the issuer's common stock upon vesting of the unit) that were assumed by II-VI and converted into 43,835 RSUs that are payable upon vesting in shares of II-VI common stock. Each performance stock unit ("PSU") represented the right to receive, upon satisfaction of the performance goals applicable to the unit, one share of the issuer's common stock. Pursuant to the Merger Agreement, each of these PSUs was automatically cancelled and converted into the right to receive 0.2146 shares of II-VI common stock and $15.94 in cash. /s/ Christopher Brown as Attorney-in-fact for 2019-09-25