-----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, IMha3VY4D8BCs91UCxsFL5ZnJUTbZKtzp1lGtBko93TXL29HAiJcnRy7PaEJYshN g6CGK/k0nCIJAIeZ+q8IjQ== 0000932440-97-000228.txt : 19990920 0000932440-97-000228.hdr.sgml : 19990920 ACCESSION NUMBER: 0000932440-97-000228 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970806 FILED AS OF DATE: 19970909 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CIENA CORP CENTRAL INDEX KEY: 0000936395 STANDARD INDUSTRIAL CLASSIFICATION: 3661 IRS NUMBER: 232725311 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21969 FILM NUMBER: 97677522 BUSINESS ADDRESS: STREET 1: 8530 CORRIDOR RD CITY: SAVAGE STATE: MD ZIP: 20763 BUSINESS PHONE: 3013175800 MAIL ADDRESS: STREET 1: 8530 CORRIDOR RD CITY: SAVAGE STATE: MD ZIP: 20763 COMPANY DATA: COMPANY CONFORMED NAME: DOW STEPHEN M CENTRAL INDEX KEY: 0001033501 STANDARD INDUSTRIAL CLASSIFICATION: OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 13455 NOEL ROAD SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75420 BUSINESS PHONE: 9727021100 4 1 FORM 4 - AUGUST 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Dow, Stephen M. c/o Sevin Rosen Funds Two Galleria Tower 13455 Noel Road, Suite 1670 Dallas, TX 75240 2. Issuer Name and Ticker or Trading Symbol CIENA Corporation ("CIEN") 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year August 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |08/06/|J(1)| |9,903,647 |D | |70,000 |I |By Sevin Rosen Fund IV L.P.| |97 | | | | | | | | (2) | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |08/06/|J(3)| |642,856 |D | |- 0 - |I |By Sevin Rosen Fund V L.P. | |97 | | | | | | | |(2) | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |08/06/|J(4)| |350,050 |A | |353,081 |I |By The Dow Family Trust (5)| |97 | | | | | | | | | - - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Distiribution by Sevin Rosen Fund IV L.P. to its partners. (2) Mr. Dow is a general partner of both SRB Associates IV L.P., the general partner of Sevin Rosen Fund IV L.P. and SRB Associates V L.P., the general partner of Sevin Rosen Fund V L.P. Mr. Dow disclaims beneficial ownership of the shares held by such entities except to the extent of his proportionate partnership interest therein. (3) Distribution by Sevin Rosen Fund V L.P. to its partners. (4) Acquired by Reporting Person pursuant to distributions by each of SRB Associates IV L.P. and Sevin Rosen Fund V L.P. (5) Mr. Dow and his wife are the trustees and Mr. Dow and members of his immediate family are the beneficiaries of The Dow Family Trust. SIGNATURE OF REPORTING PERSON /s/ John Jaggers, Attorney-in-Fact DATE September 9, 1997 -----END PRIVACY-ENHANCED MESSAGE-----