Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lightwave Logic, Inc.LWLG · Entity 5128 | Director · CEO | September 12, 2026 | September 14, 2026 |
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.
Lightwave Logic, Inc.
Report date September 12, 2026 · Filed September 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,900,203 |
Reported balance
After 2026-09-12 transaction · row 1
1 source rowRow 1 · 2026-09-12 · Tax withholding · Disposed 310,750 · Balance 1,900,203 F1: Represents shares withheld by the Issuer in connection with a net settlement of the September 12, 2026 vesting of restricted stock units. Shares were withheld for the payment of withholding taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld by the Issuer in connection with a net settlement of the September 12, 2026 vesting of restricted stock units. Shares were withheld for the payment of withholding taxes.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
OCLARO, INC.
Report date December 06, 2018 · Filed December 10, 2018
Section 16 reporting ended · disclosed 2018-12-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2018-12-10 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2018-12-06 · Grant · Acquired 30,000 · Balance 388,952 F1: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. Row 2 · 2018-12-06 · Tax withholding · Disposed 41,917 · Balance 347,035 F2: Withholding of 41,860 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Row 3 · 2018-12-10 · Disposition to issuer · Disposed 347,035 · Balance 0 F3: Pursuant to the Agreement and Plan of Merger, dated March 11, 2018 (the "Merger Agreement"), Lumentum Holdings Inc. ("Lumentum") acquired Oclaro in a merger transaction (the "Merger") which became effective on December 10, 2018. At the effective time of the Merger (the "Effective Time"), each share of Oclaro common stock converted into the right to receive, without interest, (a) $5.60 in cash and (b) 0.0636 of a share of common stock of Lumentum ("Merger Consideration") |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-12-10 · Disposition to issuer · Disposed 9,844 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F5: Pursuant to the terms of Mr. LeMaitre's letter agreement with Lumentum, dated July 27, 2018 (the "Letter Agreement"), the vesting of 9,844 Oclaro restricted stock units ("RSUs") granted on August 10, 2016 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F6: On August 10, 2016, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-12-10 · Disposition to issuer · Disposed 9,843 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F7: Pursuant to the terms of the Letter Agreement, the vesting of 9,843 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F8: On August 10, 2016, Mr. LeMaitre was granted 90,000 PSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-12-10 · Disposition to issuer · Disposed 13,750 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F9: Pursuant to the terms of the Letter Agreement, the vesting of 13,750 RSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F10: On August 10, 2017, Mr. LeMaitre was granted 80,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-12-10 · Disposition to issuer · Disposed 30,000 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F1: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. F11: Pursuant to the terms of the Letter Agreement, the vesting of 30,000 PSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F12: On August 10, 2017, Mr. LeMaitre was issued a grant of up to 90,000 PSUs, vesting 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-12-10 · Disposition to issuer · Disposed 22,500 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F13: Pursuant to the terms of the Letter Agreement, the vesting of 22,500 RSUs granted on August 1, 2018 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F14: On August 1, 2018, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 1st, May 1st, August 1st and November 1st the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-12-10 · Disposition to issuer · Disposed 29,532 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F15: Pursuant to the terms of the Merger Agreement, 29,532 RSUs granted on August 10, 2016 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock. F6: On August 10, 2016, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-12-10 · Disposition to issuer · Disposed 29,532 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F16: Pursuant to the terms of the Merger Agreement, 29,532 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock. F8: On August 10, 2016, Mr. LeMaitre was granted 90,000 PSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-12-10 · Disposition to issuer · Disposed 41,250 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F17: Pursuant to the terms of the Merger Agreement, 41,250 RSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 7,973 shares of Lumentum common stock. F10: On August 10, 2017, Mr. LeMaitre was granted 80,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-12-10 · Disposition to issuer · Disposed 90,000 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F1: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. F18: Pursuant to the terms of the Merger Agreement, 90,000 PSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 17,397 shares of Lumentum common stock. F12: On August 10, 2017, Mr. LeMaitre was issued a grant of up to 90,000 PSUs, vesting 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-12-10 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-12-10 · Disposition to issuer · Disposed 67,500 · Balance 0 F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F19: Pursuant to the terms of the Merger Agreement, 67,500 RSUs granted on August 10, 2018 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 13,047 shares of Lumentum common stock. F14: On August 1, 2018, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 1st, May 1st, August 1st and November 1st the Initial Vesting Date over the three years of continuous service thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020.
F2: Withholding of 41,860 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards.
F3: Pursuant to the Agreement and Plan of Merger, dated March 11, 2018 (the "Merger Agreement"), Lumentum Holdings Inc. ("Lumentum") acquired Oclaro in a merger transaction (the "Merger") which became effective on December 10, 2018. At the effective time of the Merger (the "Effective Time"), each share of Oclaro common stock converted into the right to receive, without interest, (a) $5.60 in cash and (b) 0.0636 of a share of common stock of Lumentum ("Merger Consideration")
F4: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock.
F5: Pursuant to the terms of Mr. LeMaitre's letter agreement with Lumentum, dated July 27, 2018 (the "Letter Agreement"), the vesting of 9,844 Oclaro restricted stock units ("RSUs") granted on August 10, 2016 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award.
F6: On August 10, 2016, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter.
F7: Pursuant to the terms of the Letter Agreement, the vesting of 9,843 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award.
F8: On August 10, 2016, Mr. LeMaitre was granted 90,000 PSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter.
F9: Pursuant to the terms of the Letter Agreement, the vesting of 13,750 RSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award.
F10: On August 10, 2017, Mr. LeMaitre was granted 80,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter.
F11: Pursuant to the terms of the Letter Agreement, the vesting of 30,000 PSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award.
F12: On August 10, 2017, Mr. LeMaitre was issued a grant of up to 90,000 PSUs, vesting 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter.
F13: Pursuant to the terms of the Letter Agreement, the vesting of 22,500 RSUs granted on August 1, 2018 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award.
F14: On August 1, 2018, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 1st, May 1st, August 1st and November 1st the Initial Vesting Date over the three years of continuous service thereafter.
F15: Pursuant to the terms of the Merger Agreement, 29,532 RSUs granted on August 10, 2016 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock.
F16: Pursuant to the terms of the Merger Agreement, 29,532 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock.
F17: Pursuant to the terms of the Merger Agreement, 41,250 RSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 7,973 shares of Lumentum common stock.
F18: Pursuant to the terms of the Merger Agreement, 90,000 PSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 17,397 shares of Lumentum common stock.
F19: Pursuant to the terms of the Merger Agreement, 67,500 RSUs granted on August 10, 2018 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 13,047 shares of Lumentum common stock.
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 |
|---|---|---|---|---|---|---|
| September 12, 2026 Filed Sep 14, 2026 22:17 UTC | Lightwave Logic, Inc. LWLG · Entity 5128 | Tax withholdingCommon Stock | 310,750 | $5.23 | $1,625,222.50 |
DisclosureSEC source: 0001079973-26-001255 · ownership.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,900,203 F1 · shares: Represents shares withheld by the Issuer in connection with a net settlement of the September 12, 2026 vesting of restricted stock units. Shares were withheld for the payment of withholding taxes. Read SEC document |
| March 12, 2026 Filed Mar 13, 2026 22:00 UTC | Lightwave Logic, Inc. LWLG · Entity 5128 | Tax withholdingCommon Stock | 294,968 | $7.08 | $2,088,373.44 |
DisclosureSEC source: 0001553350-26-000024 · ownership.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,210,953 F1 · shares: Represents shares withheld by the Issuer in connection with a net settlement of the March 12, 2026 vesting of restricted stock units. Shares were withheld for the payment of withholding taxes. Read SEC document |
| September 12, 2025 Filed Sep 22, 2025 12:50 UTC | Lightwave Logic, Inc. LWLG · Entity 5128 | GrantCommon Stock | 2,442,997 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-25-001481 · ownership.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,505,921 F1 · shares: Represents grants of RSUs from the Issuer. 610,749 of the RSU's vest on each of March 12, 2026, September 12, 2026, March 12, 2027, and 610,750 of the RSU's vest September 12, 2027, subject to continued service with the Company through the applicable vesting dates. Unvested shares are subject to forfeiture. Read SEC document |
| December 10, 2024 Filed Dec 12, 2024 21:54 UTC | Lightwave Logic, Inc. LWLG · Entity 5128 | GrantEmployee Stock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $2.65 | $0.00 |
DisclosureSEC source: 0001079973-24-001683 · ownership.xml · derivative · entry 2 Le Maitre Yves · CIK 0001334769 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 187,500 Underlying: Common Stock · 150,000 shares Expires 2034-12-10 F3 · derivative.exercise_date: Represents an option award pursuant to the Company's 2016 Equity Incentive Plan. 150,000 options vest on June 10, 2025, subject to continued service with the Company through the applicable vesting date. Unvested shares are subject to forfeiture. Read SEC document |
| December 10, 2024 Filed Dec 12, 2024 21:54 UTC | Lightwave Logic, Inc. LWLG · Entity 5128 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-24-001683 · ownership.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Director · CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,924 F1 · shares: Represents a restricted stock award pursuant to the Company's 2016 Equity Incentive Plan. 50,000 shares vest on June 10, 2025, subject to continued service with the Company through the applicable vesting date. Unvested shares are subject to forfeiture. F2 · balance_after: 12,924 of the shares represent a restricted stock award pursuant to the Company's 2016 Equity Incentive Plan, which vests as follows: The shares vest in 9 equal quarterly installments of 1,436 shares beginning September 1, 2024, subject to continued service with the Company through the applicable vesting dates. This award is subject to forfeiture. The remaining 50,000 shares are described in Footnote 1, above. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 67,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 13 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 67,500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F19 · price: Pursuant to the terms of the Merger Agreement, 67,500 RSUs granted on August 10, 2018 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 13,047 shares of Lumentum common stock. F19 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, 67,500 RSUs granted on August 10, 2018 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 13,047 shares of Lumentum common stock. F14 · derivative.expiration_date: On August 1, 2018, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 1st, May 1st, August 1st and November 1st the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 90,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 12 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,000 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F1 · price: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. F18 · price: Pursuant to the terms of the Merger Agreement, 90,000 PSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 17,397 shares of Lumentum common stock. F1 · derivative.exercise_date: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. F18 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, 90,000 PSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 17,397 shares of Lumentum common stock. F12 · derivative.expiration_date: On August 10, 2017, Mr. LeMaitre was issued a grant of up to 90,000 PSUs, vesting 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 41,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 11 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,250 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F17 · price: Pursuant to the terms of the Merger Agreement, 41,250 RSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 7,973 shares of Lumentum common stock. F17 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, 41,250 RSUs granted on August 10, 2017 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 7,973 shares of Lumentum common stock. F10 · derivative.expiration_date: On August 10, 2017, Mr. LeMaitre was granted 80,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 29,532 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 10 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,532 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F16 · price: Pursuant to the terms of the Merger Agreement, 29,532 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock. F16 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, 29,532 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock. F8 · derivative.expiration_date: On August 10, 2016, Mr. LeMaitre was granted 90,000 PSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 29,532 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 9 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,532 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F15 · price: Pursuant to the terms of the Merger Agreement, 29,532 RSUs granted on August 10, 2016 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock. F15 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, 29,532 RSUs granted on August 10, 2016 that were unvested and outstanding as of the Effective Time were assumed by Lumentum in the Merger and replaced with restricted stock units for 5,708 shares of Lumentum common stock. F6 · derivative.expiration_date: On August 10, 2016, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 22,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 8 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,500 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F13 · price: Pursuant to the terms of the Letter Agreement, the vesting of 22,500 RSUs granted on August 1, 2018 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F13 · derivative.exercise_date: Pursuant to the terms of the Letter Agreement, the vesting of 22,500 RSUs granted on August 1, 2018 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F14 · derivative.expiration_date: On August 1, 2018, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 1st, May 1st, August 1st and November 1st the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 30,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 7 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F1 · price: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. F11 · price: Pursuant to the terms of the Letter Agreement, the vesting of 30,000 PSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F1 · derivative.exercise_date: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. F11 · derivative.exercise_date: Pursuant to the terms of the Letter Agreement, the vesting of 30,000 PSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F12 · derivative.expiration_date: On August 10, 2017, Mr. LeMaitre was issued a grant of up to 90,000 PSUs, vesting 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 13,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 6 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,750 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F9 · price: Pursuant to the terms of the Letter Agreement, the vesting of 13,750 RSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F9 · derivative.exercise_date: Pursuant to the terms of the Letter Agreement, the vesting of 13,750 RSUs granted on August 10, 2017 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F10 · derivative.expiration_date: On August 10, 2017, Mr. LeMaitre was granted 80,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 9,843 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 5 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,843 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F7 · price: Pursuant to the terms of the Letter Agreement, the vesting of 9,843 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F7 · derivative.exercise_date: Pursuant to the terms of the Letter Agreement, the vesting of 9,843 PSUs granted on August 10, 2016 (for which the performance criteria was previously achieved) was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such PSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F8 · derivative.expiration_date: On August 10, 2016, Mr. LeMaitre was granted 90,000 PSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerRestricted Stock Units · Derivative | 9,844 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · derivative · entry 4 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,844 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Oclaro common stock. F5 · price: Pursuant to the terms of Mr. LeMaitre's letter agreement with Lumentum, dated July 27, 2018 (the "Letter Agreement"), the vesting of 9,844 Oclaro restricted stock units ("RSUs") granted on August 10, 2016 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F5 · derivative.exercise_date: Pursuant to the terms of Mr. LeMaitre's letter agreement with Lumentum, dated July 27, 2018 (the "Letter Agreement"), the vesting of 9,844 Oclaro restricted stock units ("RSUs") granted on August 10, 2016 was accelerated immediately prior to the Effective Time. In accordance with the Merger Agreement, such RSUs were converted into the right to receive the Merger Consideration in respect of each Oclaro share underlying such award. F6 · derivative.expiration_date: On August 10, 2016, Mr. LeMaitre was granted 90,000 RSUs, vesting in 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| December 10, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Disposition to issuerCommon Stock | 347,035 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · nonDerivative · entry 3 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: Pursuant to the Agreement and Plan of Merger, dated March 11, 2018 (the "Merger Agreement"), Lumentum Holdings Inc. ("Lumentum") acquired Oclaro in a merger transaction (the "Merger") which became effective on December 10, 2018. At the effective time of the Merger (the "Effective Time"), each share of Oclaro common stock converted into the right to receive, without interest, (a) $5.60 in cash and (b) 0.0636 of a share of common stock of Lumentum ("Merger Consideration") Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 41,917 | $8.44 | $353,779.48 |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · nonDerivative · entry 2 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,035 F2 · kind: Withholding of 41,860 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| December 06, 2018 Filed Dec 10, 2018 17:00 UTC | OCLARO, INC. OCLR · Entity 161934 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-007612 · marketforms-43201.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,952 F1 · price: Represents 30,000 Oclaro, Inc. ("Oclaro") performance-based restricted stock units (the "PSUs") granted on August 10, 2017 that vested in full at the Effective Time (as defined below). On March 11, 2018, the Compensation Committee of Oclaro determined that, contingent upon the occurrence of the Effective Time, the underlying performance milestones for such PSUs would be deemed achieved based on the maximum level of achievement (150% of target), with vesting continuing through August 2020. Read SEC document |
| November 10, 2018 Filed Nov 13, 2018 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 5,622 | $8.43 | $47,393.46 |
DisclosureSEC source: 0001214659-18-007073 · marketforms-43192.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 358,952 F1 · kind: Withholding of 5,622 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $8.90 | $0.00 |
DisclosureSEC source: 0001214659-18-005612 · marketforms-42755.xml · derivative · entry 3 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2018-08-15 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. F2 · derivative.exercise_date: The stock options fully vested on August 15, 2012. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 5,888 | $9.07 | $53,404.16 |
DisclosureSEC source: 0001214659-18-005612 · marketforms-42755.xml · nonDerivative · entry 2 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,574 F1 · kind: Withholding of 5,888 shares to satisfy tax obligations and option cost arising in connection with the exercise of the stock options. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionCommon Stock | 6,000 | $9.07 | $54,420.00 |
DisclosureSEC source: 0001214659-18-005612 · marketforms-42755.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,462 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 10, 2018 Filed Aug 14, 2018 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 15,992 | $9.04 | $144,567.68 |
DisclosureSEC source: 0001214659-18-005534 · marketforms-42734.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,462 F1 · kind: Withholding of 15,992 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| August 01, 2018 Filed Aug 3, 2018 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | GrantCommon Stock | 90,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-18-005220 · marketforms-42649.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,454 F1 · kind: Represents a grant of restricted stock units, which vests 25% on the one year anniversary of the date of grant and 6.25% every February 1st, May 1st, August 1st and November 1st following the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| May 10, 2018 Filed May 14, 2018 19:45 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 9,074 | $8.58 | $77,854.92 |
DisclosureSEC source: 0001214659-18-003690 · marketforms-41995.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,454 F1 · kind: Withholding of 9,074 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 19:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionStock Option (Right to Buy) · Derivative | 4,875 | $0.00 Strike: $6.15 | $0.00 |
DisclosureSEC source: 0001214659-18-002118 · marketforms-41359.xml · derivative · entry 2 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,875 shares Expires 2018-03-10 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. F1 · derivative.exercise_date: The option vested 25% on the one-year anniversary of the date of grant and in equal monthly installments thereafter. The first installment became exercisable on March 10, 2009. The option was exercised on March 9, 2018 to avoid forfeiture of the option upon its expiration on March 10, 2018. The reporting person paid the exercise price of the option in cash. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 19:00 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionCommon Stock | 4,875 | $6.15 | $29,981.25 |
DisclosureSEC source: 0001214659-18-002118 · marketforms-41359.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,528 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 10, 2018 Filed Feb 13, 2018 19:34 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 9,693 | $6.41 | $62,132.13 |
DisclosureSEC source: 0001214659-18-001179 · marketforms-41009.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,653 F1 · kind: Withholding of 9,693 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 19:05 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 15,552 | $6.22 | $96,733.44 |
DisclosureSEC source: 0001214659-17-006738 · marketforms-40129.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,346 F1 · kind: Withholding of 15,552 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 19:23 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 29,361 | $8.32 | $244,283.52 |
DisclosureSEC source: 0001214659-17-005121 · marketforms-39421.xml · nonDerivative · entry 2 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,898 F2 · kind: Withholding of 29,361 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 19:23 UTC | OCLARO, INC. OCLR · Entity 161934 | GrantCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-17-005121 · marketforms-39421.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,259 F1 · kind: Represents a grant of restricted stock units, which vests 25% on the one year anniversary of the date of grant and 6.25% every February 10th, May 10th, August 10th and November 10th following the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| July 25, 2017 Filed Aug 7, 2017 20:22 UTC | OCLARO, INC. OCLR · Entity 161934 | GrantCommon Stock | 90,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-17-004843 · marketforms-39386.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,259 F1 · kind: On August 10, 2016, the reporting person was awarded performance stock units ("PSUs") covering 90,000 shares of common stock. On July 25, 2017, the Compensation Committee of Oclaro, Inc. determined that the performance criteria had been achieved and the shares subject to the PSUs will begin vesting 25% on August 10, 2017 ("Initial Vesting Date") and 6.25% every February 10th, May 10th, August 10th and November 10th following the Initial Vesting Date over the three years of continuous service thereafter. Read SEC document |
| May 10, 2017 Filed May 12, 2017 19:12 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 8,538 | $8.94 | $76,329.72 |
DisclosureSEC source: 0001214659-17-003299 · marketforms-38813.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,259 F1 · kind: Withholding of 8,538 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionStock Options (Right to Buy) · Derivative | 7,876 | $0.00 Strike: $3.10 | $0.00 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · derivative · entry 9 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,876 shares Expires 2019-05-13 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. F1 · kind: Exercise of Derivative Security. F1 · shares: Exercise of Derivative Security. F8 · derivative.exercise_date: Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of May 13, 2009 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionStock Options (Right to Buy) · Derivative | 25,876 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · derivative · entry 8 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,876 shares Expires 2019-08-15 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. F1 · kind: Exercise of Derivative Security. F1 · shares: Exercise of Derivative Security. F7 · derivative.exercise_date: Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of August 15, 2009 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionStock Options (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.33 | $0.00 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · derivative · entry 7 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2021-08-15 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. F1 · kind: Exercise of Derivative Security. F1 · shares: Exercise of Derivative Security. F6 · derivative.exercise_date: Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of August 15, 2011 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 11,544 | $9.49 | $109,552.56 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · nonDerivative · entry 6 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,797 F5 · kind: Withholding of 11,544 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | SaleCommon Stock | 82,156 | $9.25 | $759,910.14 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · nonDerivative · entry 5 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,341 F2 · kind: Sale subject to Rule 144. F4 · price: This transaction was executed in multiple trades at prices ranging from $9.16 to $9.46. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | SaleCommon Stock | 178,723 | $9.28 | $1,657,977.53 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · nonDerivative · entry 4 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,497 F2 · kind: Sale subject to Rule 144. F3 · price: This transaction was executed in multiple trades at prices ranging from $9.20 to $9.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionCommon Stock | 7,876 | $3.10 | $24,415.60 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · nonDerivative · entry 3 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460,220 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. F1 · kind: Exercise of Derivative Security. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionCommon Stock | 25,876 | $3.50 | $90,566.00 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · nonDerivative · entry 2 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,344 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. F1 · kind: Exercise of Derivative Security. Read SEC document |
| February 10, 2017 Filed Feb 14, 2017 19:47 UTC | OCLARO, INC. OCLR · Entity 161934 | Exercise / conversionCommon Stock | 20,000 | $4.33 | $86,600.00 |
DisclosureSEC source: 0001214659-17-001162 · marketforms-37861.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 426,468 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. F1 · kind: Exercise of Derivative Security. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 17:46 UTC | OCLARO, INC. OCLR · Entity 161934 | Tax withholdingCommon Stock | 11,855 | $8.01 | $94,958.55 |
DisclosureSEC source: 0001214659-16-014634 · marketforms-36896.xml · nonDerivative · entry 1 Le Maitre Yves · CIK 0001334769 · Pres., Optical Connect. Bus. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 406,468 F1 · kind: Withholding of 11,855 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards. 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.