0001094739-19-000096.txt : 20190925
0001094739-19-000096.hdr.sgml : 20190925
20190925214945
ACCESSION NUMBER: 0001094739-19-000096
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190924
FILED AS OF DATE: 20190925
DATE AS OF CHANGE: 20190925
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brown Christopher
CENTRAL INDEX KEY: 0001378842
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27999
FILM NUMBER: 191115442
MAIL ADDRESS:
STREET 1: C/O OPTIUM CORPORATION
STREET 2: 500 HORIZON DRIVE, SUITE 500
CITY: CHALFONT
STATE: PA
ZIP: 18914
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: 0428
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_156946256868156.xml
FORM 4
X0306
4
2019-09-24
0
0001094739
FINISAR CORP
FNSR
0001378842
Brown Christopher
1389 MOFFETT PARK DRIVE
SUNNYVALE
CA
94089-1134
0
1
0
0
EVP & Chief Counsel
Common Stock
2019-09-24
4
D
0
63823
23.80
D
74476
D
Common Stock
2019-09-24
4
D
0
74476
23.80
D
0
D
Performance Restricted Stock Unit
0.0
2019-09-24
4
D
0
10082
23.80
D
2018-08-05
2022-05-06
Common Stock
10082.0
29345
D
Performance Restricted Stock Unit
0.0
2019-09-24
4
E
0
29345
0
D
2018-08-05
2022-05-06
Common Stock
29345.0
0
D
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 63,823 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.
The remaining 74,476 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 employment with the issuer upon the closing of the Merger, were accelerated and converted into the right (subject, however, to the reporting person's delivery and non-revocation of a general release of claims) 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.
Each performance stock unit ("PSU") represented the right to receive, upon satisfaction of the performance goals applicable to the unit, one share of the issuer's common stock. Pursuant to the Merger Agreement, each of these PSUs was automatically cancelled and converted into the right to receive 0.2218 shares of II-VI common stock and $15.60 in cash.
/s/ Christopher Brown
2019-09-25