Statement of Changes in Beneficial Ownership (4)
December 22 2022 - 04:13PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * McFeely Scott |
2. Issuer Name and Ticker or Trading
Symbol CIENA CORP [ CIEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
SVP, Networking Platforms |
(Last)
(First)
(Middle)
C/O CIENA CORPORATION, 7035 RIDGE RD. |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/20/2022
|
(Street)
HANOVER, MD 21076-1426
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. 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
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/20/2022 |
|
F |
|
592 (1) |
D |
$49.27 |
119061 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
2613 (3) |
D |
$49.27 |
116448 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
487 (4) |
D |
$49.27 |
115961 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
2337 (5) |
D |
$49.27 |
113624 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
1508 (5) |
D |
$49.27 |
112116 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
430 (6) |
D |
$49.27 |
111686 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
2060 (7) |
D |
$49.27 |
109626 (2) |
D |
|
Common Stock |
12/20/2022 |
|
F |
|
535 (8) |
D |
$49.27 |
109091 (2) |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a restricted stock unit (RSU) award agreement dated
12/17/2019. Acquisition of the RSU was previously reported in Table
I of the reporting person's Form 4 on 12/19/2019. |
(2) |
Shares reported include
unvested Restricted Stock Units (RSUs) and Performance Stock Units
(PSUs). |
(3) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a market stock unit (MSU) award agreement dated
12/17/2019. The earning of the MSU was previously reported on Table
I of the reporting person's Form 4 on 12/15/2022. |
(4) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a restricted stock unit (RSU) award agreement dated
12/16/2020. Acquisition of the RSU was previously reported in Table
I of the reporting person's Form 4 on 12/18/2020. |
(5) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a performance stock unit (PSU) award agreement dated
12/16/2020. The earning of the PSU was previously reported on Table
I of the reporting person's Form 4 on 12/16/2021. |
(6) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a restricted stock unit (RSU) award agreement dated
12/14/2021. Acquisition of the RSU was previously reported in Table
I of the reporting person's Form 4 on 12/16/2021. |
(7) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a performance stock unit (PSU) award agreement dated
12/14/2021. The earning of the PSU was previously reported on Table
I of the reporting person's Form 4 on 12/15/2022. |
(8) |
Represents shares withheld
to cover payment of the tax liabilities of the reporting person
related to a restricted stock unit (RSU) award agreement dated
12/18/2018. Acquisition of the RSU was previously reported in Table
I of the reporting person's Form 4 on 12/20/2018. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
McFeely Scott
C/O CIENA CORPORATION
7035 RIDGE RD.
HANOVER, MD 21076-1426 |
|
|
SVP, Networking Platforms |
|
Signatures
|
By: Michelle Rankin For: Scott
Mcfeely |
|
12/22/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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