0001094739-18-000042.txt : 20180621 0001094739-18-000042.hdr.sgml : 20180621 20180621183648 ACCESSION NUMBER: 0001094739-18-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180619 FILED AS OF DATE: 20180621 DATE AS OF CHANGE: 20180621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eng Julie Sheridan CENTRAL INDEX KEY: 0001661122 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27999 FILM NUMBER: 18912797 MAIL ADDRESS: STREET 1: 1389 MOFFETT PARK DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FINISAR CORP CENTRAL INDEX KEY: 0001094739 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943038428 STATE OF INCORPORATION: DE FISCAL YEAR END: 0503 BUSINESS ADDRESS: STREET 1: 1389 MOFFETT PARK DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085481000 MAIL ADDRESS: STREET 1: 1389 MOFFETT PARK DR CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 wf-form4_152962059228678.xml FORM 4 X0306 4 2018-06-19 0 0001094739 FINISAR CORP FNSR 0001661122 Eng Julie Sheridan 1389 MOFFETT PARK DRIVE SUNNYVALE CA 94089-1133 0 1 0 0 EVP and GM, 3D Sensing Common Stock 2018-06-19 4 A 0 35362 0 A 105974 D Common Stock 2018-06-19 4 F 0 5001 18 D 100973 D Common Stock 2018-06-21 4 F 0 3235 17.72 D 97738 D Performance Restricted Stock Unit 0.0 2018-06-19 4 A 0 52250 0 A 2018-08-05 2022-05-06 Common Stock 52250.0 52250 D These shares represent restricted stock units granted to the Reporting Person and shall vest in four equal annual installments beginning on June 20, 2019. Includes 375 shares received as an Issuer match under the Issuer's 401K Plan on December 18, 2017 and not required to be reported, and also includes 1,087 shares purchased under the Issuer's Employee Stock Purchase Plan on June 15, 2018 and such purchase was not required to be reported pursuant to Section 16(a). On June 19, 2018, the Reporting Person vested in 10,086 restricted stock units ("RSUs") and as a result acquired 10,086 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. On June 21, 2018, the Reporting Person vested in 6,524 restricted stock units ("RSUs") and as a result acquired 6,524 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. The Performance Restricted Stock Units vest and release on a quarterly basis over an approximately four-year vesting period beginning August 5, 2018 and through May 5, 2022, with the actual number of shares being vested and released on any vesting date determined based on achievement of applicable stock price targets established for purposes of the award. The table above reflects the maximum number of shares that may be issued pursuant to the award. /s/ Christopher Brown as Attorney-in-fact for 2018-06-21