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Filing Details

Accession Number:: 0001214659-17-001162
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-02-14 19:47:56
Reporting Period:: 2017-02-10

Filing Date:: 2017-02-14
Accepted Time:: 2017-02-14 19:47:56
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1110647	Oclaro Inc.	OCLR	Semiconductors & Related Devices (3674)	201303994

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1334769	Yves Maitre Le	225 Charcot Avenue San Jose CA 95131	Pres., Optical Connect. Bus.	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2017-02-10	20,000	$4.33	426,468	No	4	M	Direct
Common Stock	Acquisiton	2017-02-10	25,876	$3.50	452,344	No	4	M	Direct
Common Stock	Acquisiton	2017-02-10	7,876	$3.10	460,220	No	4	M	Direct
Common Stock	Disposition	2017-02-10	178,723	$9.28	281,497	No	4	S	Direct
Common Stock	Disposition	2017-02-10	82,156	$9.25	199,341	No	4	S	Direct
Common Stock	Disposition	2017-02-10	11,544	$9.49	187,797	No	4	F	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	F	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options (Right to Buy)	Disposition	2017-02-10	20,000	$0.00	20,000	$4.33
Common Stock	Stock Options (Right to Buy)	Disposition	2017-02-10	25,876	$0.00	25,876	$3.50
Common Stock	Stock Options (Right to Buy)	Disposition	2017-02-10	7,876	$0.00	7,876	$3.10

Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2021-08-15	No	4	M	Direct
2019-08-15	No	4	M	Direct
2019-05-13	No	4	M	Direct

Footnotes

Exercise of Derivative Security.
Sale subject to Rule 144.
This transaction was executed in multiple trades at prices ranging from $9.20 to $9.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
This transaction was executed in multiple trades at prices ranging from $9.16 to $9.46. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Withholding of 11,544 shares to satisfy tax obligations arising in connection with the non-reportable vesting of equity awards.
Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of August 15, 2011 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years.
Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of August 15, 2009 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years.
Options vest and become exercisable (a) with respect to 25% of the shares subject to the Option on the first anniversary of May 13, 2009 and (b) with respect to the remaining shares 2.083% of the shares subject to the Option should vest following each month of continuous service thereafter, for the following three years.