FINISAR CORP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-09-24: Reporting owner Young Joseph A; Form 4/A; Security Performance Restricted Stock Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-09-24: Reporting owner Young Joseph A; Form 4/A; Security Performance Restricted Stock Unit; Transaction E Expiration of short derivative position.
- 2019-09-24: Reporting owner Young Joseph A; Form 4; Security Performance Restricted Stock Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-09-24: Reporting owner Young Joseph A; Form 4; Security Performance Restricted Stock Unit; Transaction E Expiration of short derivative position.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-09-24 | Young Joseph A Officer (EVP Global Operations) | 4/A | Performance Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,752 45,833 owned after | $23.87 | 2019-09-26 | |
| 2019-09-24 | Young Joseph A Officer (EVP Global Operations) | 4/A | Performance Restricted Stock Unit Derivative · Direct | E Expiration of short derivative position | −45,833 0 owned after | $0.00 | 2019-09-26 | |
| 2019-09-24 | Young Joseph A Officer (EVP Global Operations) | 4 | Performance Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,752 45,833 owned after | $23.87 | 2019-09-25 | |
| 2019-09-24 | Young Joseph A Officer (EVP Global Operations) | 4 | Performance Restricted Stock Unit Derivative · Direct | E Expiration of short derivative position | −45,833 0 owned after | $0.00 | 2019-09-25 | |
| 2019-09-24 | Swanson Todd Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,752 45,833 owned after | $23.87 | 2019-09-25 | |
| 2019-09-24 | Swanson Todd Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | E Expiration of short derivative position | −45,833 0 owned after | $0.00 | 2019-09-25 | |
| 2019-09-24 | Eng Julie Sheridan Officer (EVP and GM, 3D Sensing) | 4 | Performance Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,972 34,833 owned after | $23.87 | 2019-09-25 | |
| 2019-09-24 | Eng Julie Sheridan Officer (EVP and GM, 3D Sensing) | 4 | Performance Restricted Stock Unit Derivative · Direct | E Expiration of short derivative position | −34,833 0 owned after | $0.00 | 2019-09-25 | |
| 2019-09-24 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Performance Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,082 29,345 owned after | $23.80 | 2019-09-25 | |
| 2019-09-24 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Performance Restricted Stock Unit Derivative · Direct | E Expiration of short derivative position | −29,345 0 owned after | $0.00 | 2019-09-25 | |
| 2019-09-24 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,494 42,166 owned after | $23.80 | 2019-09-25 | |
| 2019-09-24 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | E Expiration of short derivative position | −42,166 0 owned after | $0.00 | 2019-09-25 | |
| 2019-08-02 | Young Joseph A Officer (EVP Global Operations) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,433 61,585 owned after | $0.00 | 2019-08-06 | |
| 2019-08-02 | Swanson Todd Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,433 61,585 owned after | $0.00 | 2019-08-06 | |
| 2019-08-02 | HURLSTON MICHAEL E. Director, Officer (CEO) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 134,375 owned after | $0.00 | 2019-08-06 | |
| 2019-08-02 | Eng Julie Sheridan Officer (EVP and GM, 3D Sensing) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,089 46,805 owned after | $0.00 | 2019-08-06 | |
| 2019-08-02 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −917 39,427 owned after | $0.00 | 2019-08-06 | |
| 2019-08-02 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,318 56,660 owned after | $0.00 | 2019-08-06 | |
| 2019-05-05 | HURLSTON MICHAEL E. Director, Officer (CEO) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 137,500 owned after | $0.00 | 2019-05-08 | |
| 2019-05-05 | Young Joseph A Officer (EVP Global Operations) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,732 63,018 owned after | $0.00 | 2019-05-08 | |
| 2019-05-05 | Swanson Todd Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,732 63,018 owned after | $0.00 | 2019-05-08 | |
| 2019-05-05 | Eng Julie Sheridan Officer (EVP and GM, 3D Sensing) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,356 47,894 owned after | $0.00 | 2019-05-08 | |
| 2019-05-05 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,668 40,344 owned after | $0.00 | 2019-05-08 | |
| 2019-05-05 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,272 57,978 owned after | $0.00 | 2019-05-08 | |
| 2018-06-19 | HURLSTON MICHAEL E. Director, Officer (CEO) | 4 | Performance Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.00 | 2018-06-21 | |
| 2018-06-19 | Brown Christopher Officer (EVP & Chief Counsel) | 4 | Performance Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,012 44,012 owned after | $0.00 | 2018-06-21 | |
| 2018-06-19 | Adzema Kurt Officer (EVP & Chief Financial Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63,250 63,250 owned after | $0.00 | 2018-06-21 | |
| 2018-06-19 | Young Joseph A Officer (EVP Global Operations) | 4 | Performance Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,750 68,750 owned after | $0.00 | 2018-06-21 | |
| 2018-06-19 | Eng Julie Sheridan Officer (EVP and GM, 3D Sensing) | 4 | Performance Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +52,250 52,250 owned after | $0.00 | 2018-06-21 | |
| 2018-06-19 | Swanson Todd Officer (Chief Operating Officer) | 4 | Performance Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,750 68,750 owned after | $0.00 | 2018-06-21 |