FINISAR CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-22: 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.
- 2016-12-15: Reporting owner Stephens Robert; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-15: Reporting owner Stephens Robert; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-15: 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-22 | 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 | −3,750 0 owned after | $7.28 exercise price | 2016-12-23 | |
| 2016-12-15 | Stephens Robert Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,302 0 owned after | $3.36 exercise price | 2016-12-19 | |
| 2016-12-15 | Stephens Robert Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,167 0 owned after | $7.28 exercise price | 2016-12-19 | |
| 2016-12-15 | Swanson Todd Officer (EVP Sales / Marketing / R&D) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,259 41,163 owned after | $8.29 exercise price | 2016-12-19 | |
| 2016-12-09 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,175 0 owned after | $26.64 exercise price | 2016-12-13 | |
| 2016-11-15 | Swanson Todd Officer (EVP Sales / Marketing / R&D) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,259 42,422 owned after | $8.29 exercise price | 2016-11-17 | |
| 2016-11-14 | Colyar Mark Officer (GM & SVP Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,622 0 owned after | $26.64 exercise price | 2016-11-16 | |
| 2016-10-17 | Swanson Todd Officer (EVP Sales / Marketing / R&D) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −868 43,681 owned after | $8.29 exercise price | 2016-10-19 | |
| 2016-10-17 | Swanson Todd Officer (EVP Sales / Marketing / R&D) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −391 0 owned after | $10.08 exercise price | 2016-10-19 | |
| 2016-09-27 | Eng Julie Sheridan Officer (EVP Datacom Engineering) | 4/A | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $21.68 exercise price | 2016-09-30 | |
| 2016-09-27 | Eng Julie Sheridan Officer (EVP Datacom Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $21.68 exercise price | 2016-09-29 | |
| 2016-09-27 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,563 0 owned after | $8.29 exercise price | 2016-09-29 | |
| 2016-09-27 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,671 0 owned after | $8.29 exercise price | 2016-09-29 | |
| 2016-09-22 | 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 | −209 0 owned after | $3.36 exercise price | 2016-09-26 | |
| 2016-09-15 | Swanson Todd Officer (EVP Sales / Marketing / R&D) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −509 391 owned after | $10.08 exercise price | 2016-09-19 | |
| 2016-09-15 | Swanson Todd Officer (EVP Sales / Marketing / R&D) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −750 0 owned after | $14.88 exercise price | 2016-09-19 | |
| 2016-09-14 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $21.68 exercise price | 2016-09-16 | |
| 2016-09-14 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −54,892 0 owned after | $3.36 exercise price | 2016-09-16 | |
| 2016-09-14 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,431 0 owned after | $8.29 exercise price | 2016-09-16 | |
| 2016-08-19 | Colyar Mark Officer (GM & SVP Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −937 0 owned after | $8.29 exercise price | 2016-08-23 | |
| 2016-08-15 | Eng Julie Sheridan Officer (EVP Datacom Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −178 0 owned after | $8.29 exercise price | 2016-08-17 | |
| 2016-07-21 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,584 0 owned after | $17.92 exercise price | 2016-07-21 | |
| 2016-06-24 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 13,000 owned after | $3.36 exercise price | 2016-06-27 | |
| 2016-06-23 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 15,000 owned after | $3.36 exercise price | 2016-06-27 | |
| 2016-06-22 | 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 | −1,250 209 owned after | $3.36 exercise price | 2016-06-23 | |
| 2016-06-21 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 20,500 owned after | $3.36 exercise price | 2016-06-23 | |
| 2016-06-20 | Young Joseph A Officer (EVP Global Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 23,000 owned after | $3.36 exercise price | 2016-06-21 | |
| 2016-06-17 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,212 4,827 owned after | $17.92 exercise price | 2016-06-21 | |
| 2016-03-29 | RAWLS JERRY S Director, Officer (Chairman of the Board & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,275 120,833 owned after | $3.36 exercise price | 2016-03-30 | |
| 2016-03-22 | 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 1,459 owned after | $3.36 exercise price | 2016-03-24 | |
| 2016-03-21 | Colyar Mark Officer (GM & SVP Engineering) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,846 937 owned after | $8.29 exercise price | 2016-03-23 |