Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| COHERENT CORP.IIVI · Entity 1179 | Director | October 07, 2019 | October 08, 2019 |
| FINISAR CORPFNSR · Entity 154739 | Director | September 24, 2019 | September 26, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
COHERENT CORP.
Report date October 07, 2019 · Filed October 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 96,656 |
Reported balance
After 2019-10-07 transaction · row 1
1 source rowRow 1 · 2019-10-07 · Grant · Acquired 2,400 · Balance 96,656 F1: These shares represent a restricted stock unit award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on October 7, 2020. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.51 · Expires 2029-10-07 | Direct | 6,000 |
Reported balance
After 2019-10-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-10-07 · Grant · Acquired 6,000 · Balance 6,000 F2: These options will vest in four equal annual installments beginning on October 7, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent a restricted stock unit award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on October 7, 2020.
F2: These options will vest in four equal annual installments beginning on October 7, 2020.
FINISAR CORP
Report date September 24, 2019 · Filed September 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-09-24 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-09-24 · Disposition to issuer · Disposed 416,171 · Balance 8,795 F1: 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 416,171 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. F2: The remaining 8,795 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, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Row 2 · 2019-09-24 · Disposition to issuer · Disposed 8,795 · Balance 0 F1: 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 416,171 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. F2: The remaining 8,795 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, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 416,171 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.
F2: The remaining 8,795 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, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 07, 2019 Filed Oct 8, 2019 23:09 UTC | COHERENT CORP. IIVI · Entity 1179 | GrantStock Options (Right to buy) · Derivative | 6,000 | $0.00 Strike: $32.51 | $0.00 |
DisclosureSEC source: 0001562180-19-005128 · primarydocument.xml · derivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2029-10-07 F2 · derivative.exercise_date: These options will vest in four equal annual installments beginning on October 7, 2020. Read SEC document |
| October 07, 2019 Filed Oct 8, 2019 23:09 UTC | COHERENT CORP. IIVI · Entity 1179 | GrantCommon Stock | 2,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-005128 · primarydocument.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,656 F1 · shares: These shares represent a restricted stock unit award granted to the reporting person pursuant to the II-VI Incorporated Amended and Restated 2012 Omnibus Incentive Plan. The award will vest in three equal annual installments beginning on October 7, 2020. Read SEC document |
| September 24, 2019 Filed Sep 26, 2019 06:06 UTC | FINISAR CORP FNSR · Entity 154739 | Disposition to issuerCommon Stock | 8,795 | $23.80 | $209,321.00 |
DisclosureSEC source: 0001094739-19-000110 · wf-form4_156949234940525.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: 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 416,171 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. F2 · price: The remaining 8,795 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, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Read SEC document |
| September 24, 2019 Filed Sep 26, 2019 06:06 UTC | FINISAR CORP FNSR · Entity 154739 | Disposition to issuerCommon Stock | 416,171 | $23.80 | $9,904,869.80 |
DisclosureSEC source: 0001094739-19-000110 · wf-form4_156949234940525.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,795 F1 · price: 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 416,171 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. F2 · price: The remaining 8,795 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, in connection with the termination of the reporting person's service with the issuer upon the closing of the Merger, were accelerated and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash for each RSU. The closing price of II-VI's common stock on September 23, 2019 was $36.975 per share. Read SEC document |
| September 09, 2019 Filed Sep 11, 2019 16:40 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 8,795 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-19-000088 · wf-form4_156823439482254.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,966 F1 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in one installment on September 1, 2020. Read SEC document |
| December 04, 2018 Filed Dec 6, 2018 16:09 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 40,000 | $23.03 | $921,144.00 |
DisclosureSEC source: 0001094739-18-000106 · wf-form4_154413053806585.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,171 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on December 12, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.80 to $23.52 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 16:34 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,208 | $3.36 Strike: $3.36 | $101,498.88 |
DisclosureSEC source: 0001094739-18-000100 · wf-form4_154145364572013.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,208 shares Expires 2018-12-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 16:34 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 30,208 | $16.77 | $506,657.64 |
DisclosureSEC source: 0001094739-18-000100 · wf-form4_154145364572013.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,171 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.59 to $16.99 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 16:34 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 30,208 | $3.36 | $101,498.88 |
DisclosureSEC source: 0001094739-18-000100 · wf-form4_154145364572013.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 486,379 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:02 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 40,000 | $18.80 | $752,004.00 |
DisclosureSEC source: 0001094739-18-000097 · wf-form4_153859694617105.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,171 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on December 12, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.51 to $19.22 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| September 11, 2018 Filed Sep 13, 2018 17:33 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 2,777 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-18-000091 · wf-form4_153687438346148.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496,171 F2 · kind: These shares represent restricted stock units granted to the Reporting Person and vested in one installment on September 11, 2018. Read SEC document |
| September 11, 2018 Filed Sep 13, 2018 17:33 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 10,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-18-000091 · wf-form4_153687438346148.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 493,394 F1 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in one installment on September 1, 2019. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 19:16 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 40,000 | $19.24 | $769,484.00 |
DisclosureSEC source: 0001094739-18-000076 · wf-form4_153627576288363.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 483,258 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on December 12, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.93 to $20.20 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 16:02 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,208 | $0.00 Strike: $3.36 | $0.00 |
DisclosureSEC source: 0001094739-18-000070 · wf-form4_153332652893812.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,208 Underlying: Common Stock · 30,208 shares Expires 2018-12-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 16:02 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 30,208 | $16.99 | $513,264.13 |
DisclosureSEC source: 0001094739-18-000070 · wf-form4_153332652893812.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,258 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.87 to $17.21 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 16:02 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 30,208 | $3.36 | $101,498.88 |
DisclosureSEC source: 0001094739-18-000070 · wf-form4_153332652893812.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 553,466 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 02, 2018 Filed Jul 5, 2018 16:06 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 40,000 | $18.14 | $725,564.00 |
DisclosureSEC source: 0001094739-18-000066 · wf-form4_153082117516019.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,258 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on December 12, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.55 to $18.51 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 16:00 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,250 | $0.00 Strike: $8.29 | $0.00 |
DisclosureSEC source: 0001094739-18-000029 · wf-form4_152822883478193.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,250 shares Expires 2019-12-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 16:00 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 38,250 | $16.67 | $637,547.18 |
DisclosureSEC source: 0001094739-18-000029 · wf-form4_152822883478193.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,258 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on December 12, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.24 to $16.86 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 16:00 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 38,250 | $8.29 | $317,092.50 |
DisclosureSEC source: 0001094739-18-000029 · wf-form4_152822883478193.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 601,508 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 01, 2018 Filed May 3, 2018 17:12 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,208 | $0.00 Strike: $3.36 | $0.00 |
DisclosureSEC source: 0001094739-18-000023 · wf-form4_152538194376449.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,416 Underlying: Common Stock · 30,208 shares Expires 2018-12-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| May 01, 2018 Filed May 3, 2018 17:12 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 30,208 | $15.59 | $470,945.74 |
DisclosureSEC source: 0001094739-18-000023 · wf-form4_152538194376449.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,258 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.45 to $15.75 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| May 01, 2018 Filed May 3, 2018 17:12 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 30,208 | $3.36 | $101,498.88 |
DisclosureSEC source: 0001094739-18-000023 · wf-form4_152538194376449.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 593,466 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 17:09 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 38,000 | $8.29 Strike: $8.29 | $315,020.00 |
DisclosureSEC source: 0001094739-18-000021 · wf-form4_152287613143231.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,250 Underlying: Common Stock · 38,000 shares Expires 2019-12-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 17:09 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 38,000 | $14.96 | $568,514.20 |
DisclosureSEC source: 0001094739-18-000021 · wf-form4_152287613143231.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,258 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on December 12, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.71 to $15.57nclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 17:09 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 38,000 | $8.29 | $315,020.00 |
DisclosureSEC source: 0001094739-18-000021 · wf-form4_152287613143231.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 601,258 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 17:47 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,209 | $0.00 Strike: $3.36 | $0.00 |
DisclosureSEC source: 0001094739-18-000014 · wf-form4_151761160613730.xml · derivative · entry 4 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,624 Underlying: Common Stock · 30,209 shares Expires 2018-12-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 17:47 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 30,209 | $17.94 | $541,997.79 |
DisclosureSEC source: 0001094739-18-000014 · wf-form4_151761160613730.xml · nonDerivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,258 F3 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.74 to $18.05 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 17:47 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 30,209 | $3.36 | $101,502.24 |
DisclosureSEC source: 0001094739-18-000014 · wf-form4_151761160613730.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 593,467 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 17:47 UTC | FINISAR CORP FNSR · Entity 154739 | Tax withholdingCommon Stock | 207,305 | $17.96 | $3,723,197.80 |
DisclosureSEC source: 0001094739-18-000014 · wf-form4_151761160613730.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,258 F1 · kind: On January 31, 2018, the Reporting Person vested in: (1) 39,839 restricted stock units ("RSUs") and as a result acquired 39,839 shares of common stock of the Issuer pursuant to the Reporting Person's June 17, 2014 grant of RSUs; (2) 80,890 RSUs and as a result acquired 80,890 shares of common stock of the Issuer pursuant to the Reporting Person's June 23, 2015 grant of RSUs; (3) 140,479 RSUs and as a result acquired 140,479 shares of common stock of the Issuer pursuant to the Reporting Person's June 21, 2016 grant of RSUs; and (4) 128,062 RSUs and as a result acquired 128,062 shares of common stock of the Issuer pursuant to the Reporting Person's June 20, 2017 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. F2 · balance_after: Includes 375 shares received as an Issuer match under the Issuer's 401K Plan on December 18, 2017 and not required to be reported. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 16:03 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 20,000 | $22.89 | $457,842.00 |
DisclosureSEC source: 0001094739-17-000137 · wf-form4_150973938758129.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 770,188 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.06 to $23.90 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 17:13 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $21.68 | $0.00 |
DisclosureSEC source: 0001094739-17-000106 · wf-form4_150179481121317.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2017-09-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 17:13 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 25,000 | $27.58 | $689,452.50 |
DisclosureSEC source: 0001094739-17-000106 · wf-form4_150179481121317.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 790,188 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.24 to $27.96 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 17:13 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 25,000 | $21.68 | $542,000.00 |
DisclosureSEC source: 0001094739-17-000106 · wf-form4_150179481121317.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,188 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 03, 2017 Filed Jul 6, 2017 16:11 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $21.68 | $0.00 |
DisclosureSEC source: 0001094739-17-000100 · wf-form4_149937186823025.xml · derivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2017-09-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 03, 2017 Filed Jul 6, 2017 16:11 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 25,000 | $25.93 | $648,162.50 |
DisclosureSEC source: 0001094739-17-000100 · wf-form4_149937186823025.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 790,188 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on April 5, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.65 to $26.23 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| July 03, 2017 Filed Jul 6, 2017 16:11 UTC | FINISAR CORP FNSR · Entity 154739 | Exercise / conversionCommon Stock | 25,000 | $21.68 | $542,000.00 |
DisclosureSEC source: 0001094739-17-000100 · wf-form4_149937186823025.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 815,188 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 24, 2017 Filed Jun 27, 2017 18:31 UTC | FINISAR CORP FNSR · Entity 154739 | Tax withholdingCommon Stock | 16,725 | $28.20 | $471,645.00 |
DisclosureSEC source: 0001094739-17-000088 · wf-form4_149860267468725.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 790,188 F2 · kind: On June 24, 2017, the Reporting Person vested in 30,000 restricted stock units ("RSUs") and as a result acquired 30,000 shares of common stock of the Issuer pursuant to the Reporting Person's June 24, 2013 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. Read SEC document |
| June 23, 2017 Filed Jun 27, 2017 18:31 UTC | FINISAR CORP FNSR · Entity 154739 | Tax withholdingCommon Stock | 22,209 | $28.20 | $626,293.80 |
DisclosureSEC source: 0001094739-17-000088 · wf-form4_149860267468725.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 806,913 F1 · kind: On June 23, 2017, the Reporting Person vested in 39,836 restricted stock units ("RSUs") and as a result acquired 39,836 shares of common stock of the Issuer pursuant to the Reporting Person's June 17, 2014 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. Read SEC document |
| June 21, 2017 Filed Jun 21, 2017 19:27 UTC | FINISAR CORP FNSR · Entity 154739 | Tax withholdingCommon Stock | 22,549 | $27.13 | $611,754.37 |
DisclosureSEC source: 0001094739-17-000075 · wf-form4_149808761872526.xml · nonDerivative · entry 3 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 829,122 F3 · kind: On June 21, 2017, the Reporting Person vested in 40,445 restricted stock units ("RSUs") and as a result acquired 40,445 shares of common stock of the Issuer pursuant to the Reporting Person's June 23, 2015 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 19:27 UTC | FINISAR CORP FNSR · Entity 154739 | GrantCommon Stock | 128,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001094739-17-000075 · wf-form4_149808761872526.xml · nonDerivative · entry 2 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,671 F2 · kind: These shares represent restricted stock units granted to the Reporting Person and shall vest in four equal annual installments beginning on June 25, 2018. Read SEC document |
| June 19, 2017 Filed Jun 21, 2017 19:27 UTC | FINISAR CORP FNSR · Entity 154739 | Tax withholdingCommon Stock | 26,107 | $27.58 | $720,031.06 |
DisclosureSEC source: 0001094739-17-000075 · wf-form4_149808761872526.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 723,609 F1 · kind: On June 19, 2017, the Reporting Person vested in 46,827 restricted stock units ("RSUs") and as a result acquired 46,827 shares of common stock of the Issuer pursuant to the Reporting Person's June 21, 2016 grant of RSUs. This Form 4 reports shares withheld by the Issuer pursuant to the RSUs' grant agreement in order to satisfy the Reporting Person's withholding obligations for various taxes due upon the vesting of the RSUs. No shares were sold by the Reporting Person. The Issuer will pay the taxes on behalf of the Reporting Person. Read SEC document |
| March 21, 2017 Filed Mar 23, 2017 16:51 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 30,000 | $27.45 | $823,500.00 |
DisclosureSEC source: 0001094739-17-000027 · wf-form4_149030228058029.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,716 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on March 23, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.01 to $27.89 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F3 · balance_after: Includes 252 shares received as an Issuer match under the Issuer's 401K Plan on December 27, 2016 and not required to be reported. Read SEC document |
| September 20, 2016 Filed Sep 22, 2016 16:04 UTC | FINISAR CORP FNSR · Entity 154739 | SaleCommon Stock | 30,000 | $28.58 | $857,532.00 |
DisclosureSEC source: 0001094739-16-000255 · wf-form4_147457465979938.xml · nonDerivative · entry 1 RAWLS JERRY S · CIK 0001194537 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,464 F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on March 23, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.34 to $28.87 inclusive. The reporting person undertakes to provide to Finisar Corporation, any security holder of Finisar Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.