-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TDXD1V/KksjlS/ONzfHYFLGxpa/253+Wc119G4ZvZH/UVwZtE26aT0RJdSTZVmh+ r8zsWFEWleTkZQYv0gtSOQ== 0001179110-10-016837.txt : 20101202 0001179110-10-016837.hdr.sgml : 20101202 20101202183219 ACCESSION NUMBER: 0001179110-10-016837 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101130 FILED AS OF DATE: 20101202 DATE AS OF CHANGE: 20101202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shubin Stein Kenneth H CENTRAL INDEX KEY: 0001345051 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11174 FILM NUMBER: 101229429 MAIL ADDRESS: STREET 1: 1995 BROADWAY STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10023 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MRV COMMUNICATIONS INC CENTRAL INDEX KEY: 0000887969 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 061340090 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 20415 NORDHOFF ST CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 8187730900 MAIL ADDRESS: STREET 1: 20415 NORDHOFF ST CITY: CHATSWORTH STATE: CA ZIP: 91311 4 1 edgar.xml FORM 4 - X0303 4 2010-11-30 0 0000887969 MRV COMMUNICATIONS INC MRVC.PK 0001345051 Shubin Stein Kenneth H 20415 NORDHOFF STREET CHATSWORTH CA 91311 1 0 0 0 Common Stock 2010-11-30 4 P 0 1064 1.60 A 466110 I See Footnote Common Stock 2010-11-30 4 S 0 1064 1.60 D 465046 I See Footnote Non-Qualified Stock Option (Right to Buy) 1.66 2010-12-01 4 A 0 105738 1.66 A 2011-06-01 2020-12-01 Common Stock 105738 183469 D Dr. Shubin Stein beneficially owns 128,133 shares of common stock of MRV Communications, Inc. directly. In addition, he has sole trading and voting discretions as the managing member of Spencer Capital Management, LLC, which manages various accounts that hold 336,913 shares of MRV Communications, Inc. common stock including the reported transactions above. As the managing member of Spencer Capital Management, LLC, Dr. Shubin Stein may be deemed to be the beneficial owner of the 336,913 shares held in the managed accounts. Dr. Shubin Stein claims beneficial ownership of any of the shares included in this report to the extent of his pecuniary interest therein. Dr. Shubin Stein's sale of MRV Communications, Inc.'s common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 1,064 shares, with the reporting person's purchase of 1,064 shares of MRV Communications, Inc.'s common stock at a price of $1.27 per share on June 15, 2010. Even though the shares were only held indirectly through a managed account as disclosed in footnote (1), Dr. Shubin Stein has paid MRV Communications, Inc. $351.12, representing the full amount of the profit realized in connection with the short-swing transaction. Options vest in six months from the date of grant on 06/01/2011. The options expire ten years from the date of grant. Anne-Marie Frisch, Attorney-In-Fact For Kenneth H. Shubin Stein 2010-12-02 -----END PRIVACY-ENHANCED MESSAGE-----