-----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, VyT3bt3e99XxDsxluIqokOz9M+S2WWQ8OJT+LqoyZTyGRUCa78iOvr2lwBhWPZ2/ pMwtNObq/qXBAceCY0QOcw== 0000932440-97-000275.txt : 19990920 0000932440-97-000275.hdr.sgml : 19990920 ACCESSION NUMBER: 0000932440-97-000275 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970212 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: 4 SEC ACT: SEC FILE NUMBER: 000-21969 FILM NUMBER: 97694019 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 - FEBRUARY 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 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 February 1997 5. If Amendment, Date of Original (Month/Year) February 5, 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) (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 |2/ 12/|C | |10,877,505 |A | |11,081,830 |I |By Sevin Rosen Fund IV L.P.| |97 | | | | | | | | (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |2/ 12/|C | |714,285 |A | |714,285 |I |By Sevin Rosen Fund V L.P. | |97 | | | | | | | |(1) | - - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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)| | ___________________________________________________________________________________________________________________________________| Series A Convertible P| |2/ 12|C | |1,148,789 |D | | |Common Stock|5,743,9| |0 |I |By Sevin Ros| referred Stock | |/97 | | | | | | | |45 | | | |en Fund IV L| | | | | | | | | | | | | | |.P. (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Series B Convertible P| |2/ 12|C | |740,998 |D | | |Common Stock|3,704,9| |0 |I |By Sevin Ros| referred Stock | |/97 | | | | | | | |90 | | | |en Fund IV L| | | | | | | | | | | | | | |.P. (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Series C Convertible P| |2/ 12|C | |285,714 |D | | |Common Stock|1,428,5| |0 |I |By Sevin Ros| referred Stock | |/97 | | | | | | | |70 | | | |en Fund IV L| | | | | | | | | | | | | | |.P. (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| Series C Convertible P| |2/ 12|C | |142,857 |D | | |Common Stock|714,285| |0 |I |By Sevin Ros| referred Stock | |/97 | | | | | | | | | | | |en Fund V L.| | | | | | | | | | | | | | |P. (1) | - - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) SRB Associates IV L.P. is a 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 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 automatically converted into five shares of Common Stock. SIGNATURE OF REPORTING PERSON /s/ John V. Jaggers, General Partner DATE October 10, 1997 -----END PRIVACY-ENHANCED MESSAGE-----