-----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, JBEGIFeMB6wmJEai2npu1ktx+hDmonXPzTTIXeZ/URYUhADstphvddKs1QJ/MGtf dHSqjvZN5s4qbpWar9Jt7g== 0000932440-97-000196.txt : 19990920 0000932440-97-000196.hdr.sgml : 19990920 ACCESSION NUMBER: 0000932440-97-000196 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970527 FILED AS OF DATE: 19970710 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: 97639149 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: PHIPPS CHARLES H CENTRAL INDEX KEY: 0001033560 STANDARD INDUSTRIAL CLASSIFICATION: OWNER IRS NUMBER: 273229910 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 13455 NOEL RD STREET 2: SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9727021100 MAIL ADDRESS: STREET 2: 13455 NOEL ROAD, SUITE 1670 CITY: DALLAS STATE: TX ZIP: 75240 4 1 FORM 4 - MAY 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) 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 Phipps, Charles H. 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 May 1997 5. If Amendment, Date of Original (Month/Year) June 10, 1997 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) ( ) 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 |5/27/9|J(1)| |1,108,183 |D | |9,973,647 |I |By Sevin Rosen Fund IV L.P.| |7 | | | | | | | | (2) | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |42,375 |I |By Sevin Rosen Bayless Mgmt| | | | | | | | | |. Co. (2) | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/27/9|J(3)| |71,429 |D | |642,856 |I |By Sevin Rosen Fund V L.P. | |7 | | | | | | | |(2) | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/27/9|J(4)| |2,096 |A | |2,346 |I |By Trustee (5) | |7 | | | | | | | | | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |5/27/9|J(6)| |29,451 |A | |29,701 |D | | |7 | | | | | | | | | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock | | | | | | |250 |I |By Wife (7) | - - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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) Mr. Phipps 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. and is a principal of Sevin Rosen Bayless Management Co. Mr. Phipps 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 pursuant to the distribution by SRB Associates IV L.P. (5) The shares are held in a trust for the benefit of the Reporting Person's child. The Reporting Person's wife is the trustee. (6) Acquired by Reporting Person pursuant to distributions by each of SRB Associates IV L.P. and Sevin Rosen Fund V L.P. (7) The shares are owned by the Reporting Person's wife. SIGNATURE OF REPORTING PERSON /s/ John V. Jaggers, as Attorney-in-Fact DATE July 10, 1997 -----END PRIVACY-ENHANCED MESSAGE-----