0001094739-18-000114.txt : 20181218 0001094739-18-000114.hdr.sgml : 20181218 20181218191455 ACCESSION NUMBER: 0001094739-18-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181215 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 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: 181241817 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: 0429 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_154517847908236.xml FORM 4 X0306 4 2018-12-15 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 2018-12-15 4 F 0 1466 21.75 D 88976 D Common Stock 2018-12-18 4 S 0 1489 21.7377 D 87487 D On December 15, 2018, the Reporting Person vested in 2,955 restricted stock units ("RSUs") and as a result acquired 2,955 shares of common stock of the Issuer pursuant to the Reporting Person's December 15, 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. Includes 71 shares purchased under the Issuer's Employee Stock Purchase Plan on December 15, 2018 and such purchase was not required to be reported pursuant to Section 16(a). Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan adopted by the reporting person on March 19, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.66 to $21.94 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. /s/ Christopher Brown as Attorney-in-fact for 2018-12-18