0001179110-11-007154.txt : 20110502 0001179110-11-007154.hdr.sgml : 20110502 20110502173322 ACCESSION NUMBER: 0001179110-11-007154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110428 FILED AS OF DATE: 20110502 DATE AS OF CHANGE: 20110502 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: 11802156 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 2011-04-28 0 0000887969 MRV COMMUNICATIONS INC MRVC.PK 0001345051 Shubin Stein Kenneth H 20415 NORDHOFF STREET CHATSWORTH CA 91311 1 0 0 0 Common Stock 2011-04-28 4 S 0 3341.00 1.55 D 460705 I See Footnote 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 3,341 shares, with the reporting person's purchase of 3,341 shares at a price of $1.30 per share on November 17, 2010. Even though the shares were only held indirectly through a managed fund, Dr. Shubin Stein has paid MRV Communications, Inc. $835.25, representing the full amount of the profit realized in connection with the short-swing transaction. Dr. Shubin Stein beneficially owns 128,133 shares of common stock of MRV Communications, Inc. directly. In addition, he has sole trading and voting discretion as the managing member of Spencer Capital Management, LLC, which manages various accounts that hold 332,572 shares of MRV Communications, Inc. common stock. As the managing member of Spencer Capital Management, LLC, Dr. Shubin Stein may be deemed to be the beneficial owner of the 332,572 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. Anne-Marie Frisch, Attorney-In-Fact for Kenneth H. Shubin Stein 2011-05-02