FINISAR CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-22: Reporting owner FERGUSON ROGER C; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-22: Reporting owner FERGUSON ROGER C; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-08-11: Reporting owner Swanson Todd; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-07-07: Reporting owner Swanson Todd; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-22 | FERGUSON ROGER C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 2,500 owned after | $12.88 exercise price | 2014-12-24 | |
| 2014-09-22 | FERGUSON ROGER C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $9.76 exercise price | 2014-09-24 | |
| 2014-08-11 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,315 9,911 owned after | $8.29 exercise price | 2014-08-13 | |
| 2014-07-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,315 13,226 owned after | $8.29 exercise price | 2014-07-09 | |
| 2014-07-02 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,315 16,541 owned after | $8.29 exercise price | 2014-07-07 | |
| 2014-06-10 | Colyar Mark Officer (Sr. VP Operations/Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,010 11,783 owned after | $8.29 exercise price | 2014-06-12 | |
| 2014-05-29 | RAWLS JERRY S Director, Officer (Exec Chairman of the Board) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $15.36 exercise price | 2014-06-02 | |
| 2014-05-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,757 0 owned after | $3.36 exercise price | 2014-05-09 | |
| 2014-05-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,558 19,856 owned after | $8.29 exercise price | 2014-05-09 | |
| 2014-04-28 | Young Joseph A Officer (Exec. VP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,906 0 owned after | $8.29 exercise price | 2014-04-30 | |
| 2014-04-28 | Young Joseph A Officer (Exec. VP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,515 0 owned after | $8.29 exercise price | 2014-04-30 | |
| 2014-04-22 | Brown Christopher Officer (Exec.VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,454 2,671 owned after | $8.29 exercise price | 2014-04-24 | |
| 2014-04-22 | Brown Christopher Officer (Exec.VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,907 1,563 owned after | $8.29 exercise price | 2014-04-24 | |
| 2014-04-22 | Brown Christopher Officer (Exec.VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3 0 owned after | $3.36 exercise price | 2014-04-24 | |
| 2014-04-22 | Brown Christopher Officer (Exec.VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3 0 owned after | $3.36 exercise price | 2014-04-24 | |
| 2014-04-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,315 1,757 owned after | $3.36 exercise price | 2014-04-09 | |
| 2014-03-21 | Gertel Eitan Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,156 0 owned after | $1.36 exercise price | 2014-03-25 | |
| 2014-03-21 | Gertel Eitan Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,412 18,400 owned after | $6.88 exercise price | 2014-03-25 | |
| 2014-03-21 | Adzema Kurt Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,499 0 owned after | $14.08 exercise price | 2014-03-24 | |
| 2014-03-20 | Young Joseph A Officer (Exec. VP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,253 27,263 owned after | $11.76 exercise price | 2014-03-21 | |
| 2014-03-20 | Young Joseph A Officer (Exec. VP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,263 0 owned after | $11.76 exercise price | 2014-03-21 | |
| 2014-03-20 | Young Joseph A Officer (Exec. VP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $9.76 exercise price | 2014-03-21 | |
| 2014-03-19 | Gertel Eitan Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,346 29,156 owned after | $1.36 exercise price | 2014-03-21 | |
| 2014-03-13 | FERGUSON ROGER C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $15.36 exercise price | 2014-03-14 | |
| 2014-03-11 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,315 5,072 owned after | $3.36 exercise price | 2014-04-09 | |
| 2014-03-10 | Colyar Mark Officer (Sr. VP Operations/Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 16,793 owned after | $8.29 exercise price | 2014-03-12 | |
| 2014-02-20 | Gertel Eitan Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,266 42,502 owned after | $1.36 exercise price | 2014-02-24 | |
| 2014-02-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,315 8,387 owned after | $3.36 exercise price | 2014-02-11 | |
| 2014-01-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,408 0 owned after | $3.36 exercise price | 2014-01-09 | |
| 2014-01-07 | Swanson Todd Officer (Exec.VP Sales & Marketing) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,907 11,702 owned after | $3.36 exercise price | 2014-01-09 |