FINISAR CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-15: 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.
- 2017-08-01: Reporting owner RAWLS JERRY S; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-07-17: 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.
- 2017-07-03: Reporting owner RAWLS JERRY S; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-08-15 | 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 | −1,264 31,086 owned after | $8.29 exercise price | 2017-08-17 | |
| 2017-08-01 | 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 | −25,000 0 owned after | $21.68 exercise price | 2017-08-03 | |
| 2017-07-17 | 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 | −1,259 32,350 owned after | $8.29 exercise price | 2017-07-19 | |
| 2017-07-03 | 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 | −25,000 25,000 owned after | $21.68 exercise price | 2017-07-06 | |
| 2017-06-16 | 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 33,609 owned after | $8.29 exercise price | 2017-06-20 | |
| 2017-05-15 | 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 34,868 owned after | $8.29 exercise price | 2017-05-17 | |
| 2017-04-17 | 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 | −1,259 36,127 owned after | $8.29 exercise price | 2017-04-19 | |
| 2017-03-22 | 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 | −2,500 0 owned after | $7.28 exercise price | 2017-03-23 | |
| 2017-03-15 | 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 37,386 owned after | $8.29 exercise price | 2017-03-17 | |
| 2017-03-06 | 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 | −678 0 owned after | $25.68 exercise price | 2017-03-07 | |
| 2017-02-15 | 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 38,645 owned after | $8.29 exercise price | 2017-02-17 | |
| 2017-02-13 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1 0 owned after | $8.29 exercise price | 2017-02-14 | |
| 2017-02-13 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 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 | $8.29 exercise price | 2017-02-14 | |
| 2017-02-13 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −678 0 owned after | $25.68 exercise price | 2017-02-14 | |
| 2017-02-13 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $21.68 exercise price | 2017-02-14 | |
| 2017-01-17 | 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 | −1,259 39,904 owned after | $8.29 exercise price | 2017-01-19 |