-----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, Kzh0GHLw8dErea4bkVMgfZzXd+i80O3xl78kOxJPiXDbfLgIZwkUYbFh7ZHYBY+b 3F8J/5FFRSkTZ8R6UjEXNQ== 0000932440-97-000231.txt : 19970912 0000932440-97-000231.hdr.sgml : 19970912 ACCESSION NUMBER: 0000932440-97-000231 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970806 FILED AS OF DATE: 19970909 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CIENA CORP CENTRAL INDEX KEY: 0000936395 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 232725311 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 333-17729 FILM NUMBER: 97677532 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: SRB ASSOCIATES IV LP CENTRAL INDEX KEY: 0001033496 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 SRB Associates IV, L.P. c/o Sevin Rosen Fund IV L.P. 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)| |1,802,585 |A | | |D | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |08/06/|J(5)| |1,802,585 |D | |- 0 - |D | | |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) Distribution by Sevin Rosen Fund IV L.P. to its partners. (2) SRB Associates IV L.P. is the general partner of Sevin Rosen Fund IV L.P. and an affiliate of Sevin Rosen Fund V L.P. and may be deemed to beneficially own the shares held by such entities. (3) Distribution by Sevin Rosen Fund V L.P. to its partners. (4) Acquired by Reporting Person pursuant to the distribution by Sevin Rosen Fund IV L.P. (5) Distribution by Reporting Person to its partners. SIGNATURE OF REPORTING PERSON /s/ John V. Jaggers, General Partner DATE September 9, 1997 -----END PRIVACY-ENHANCED MESSAGE-----