-----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, Kcn7mbPGCv6mPt+JaXPuv+M0dG78mkCqb0hlBZICo/AMW5XQbzuBmv5+1wZ2bjEs RuQbaVSseKN9ig+yHDhPaw== 0000932440-97-000252.txt : 19990920 0000932440-97-000252.hdr.sgml : 19990920 ACCESSION NUMBER: 0000932440-97-000252 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970207 FILED AS OF DATE: 19971010 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: 3 SEC ACT: SEC FILE NUMBER: 000-21969 FILM NUMBER: 97693770 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 V LP CENTRAL INDEX KEY: 0001033497 STANDARD INDUSTRIAL CLASSIFICATION: OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 13455 NOEL ROAD SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75420 BUSINESS PHONE: 9727021100 3 1 FORM 3 - FEBRUARY 7, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person SRB Associates V, L.P. c/o Sevin Rosen Fund V L.P. Two Galleria Tower 13455 Noel Road, Suite 1670 Dallas, TX 75240 2. Date of Event Requiring Statement (Month/Day/Year) February 7, 1997 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol CIENA Corporation ("CIEN") 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 6. If Amendment, Date of Original (Month/Day/Year) February 5, 1997 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 Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common Stock |204,325 |I |By Sevin Rosen Fund IV L.P. (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Series A Convertible Pre|(2) |(2) |Common Stock |5,743,945| |I |By Sevin Rosen Fund IV L.P.| ferred Stock | | | | | | | (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Series B Convertible Pre|(2) |(2) |Common Stock |3,704,990| |I |By Sevin Rosen Fund IV L.P.| ferred Stock | | | | | | | (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Series C Convertible Pre|(2) |(2) |Common Stock |1,428,570| |I |By Sevin Rosen Fund IV L.P.| ferred Stock | | | | | | | (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Series C Convertible Pre|(2) |(2) |Common Stock |714,285 | |I |By Sevin Rosen Fund V L.P. | ferred Stock | | | | | | |(1) | - - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) SRB Associates V L.P. is a general partner of Sevin Rosen Fund V L.P. and an affiliate of Sevin Rosen Fund IV L.P. and may be deemed to beneficially own the shares held by these entities. (2) Upon the closing of the Issuer's initial public offering of its Common Stock, each issued and outstanding share of its convertible preferred stock will automatically convert into five shares of Common Stock. SIGNATURE OF REPORTING PERSON /s/ John V. Jaggers, General Partner DATE October 7, 1997 -----END PRIVACY-ENHANCED MESSAGE-----