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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 16.52 | 10/02/2007 | M | 1,083 | (3) | 06/10/2015 | Common Stock | 1,083 | $ 0 | 917 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 16.87 | 10/02/2007 | M | 1,897 | (4) | 10/26/2014 | Common Stock | 1,897 | $ 0 | 781 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 17.43 | 10/02/2007 | M | 4,583 | (5) | 10/26/2015 | Common Stock | 4,583 | $ 0 | 5,417 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 19.95 | 10/02/2007 | M | 11,428 | (6) | 12/10/2014 | Common Stock | 11,428 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 22.96 | 10/02/2007 | M | 5,357 | (6) | 05/31/2014 | Common Stock | 5,357 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 25.06 | 10/02/2007 | M | 1,785 | (6) | 05/18/2014 | Common Stock | 1,785 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 30.1 | 10/02/2007 | M | 12,856 | (6) | 08/20/2012 | Common Stock | 12,856 | $ 0 | 1 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 31.43 | 10/02/2007 | M | 8,928 | (7) | 06/01/2016 | Common Stock | 8,928 | $ 0 | 19,643 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 31.71 | 10/02/2007 | M | 2,142 | (6) | 11/19/2012 | Common Stock | 2,142 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Aquino Michael Gerald C/O CIENA CORPORATION 1201 WINTERSON ROAD LINTHICUM,, MD 21090 |
SR VP. Worldwide Sales |
By: Erik Lichter For: Michael G. Aquino | 10/03/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Sales were effected pursuant to Rule 10b5-1 trading plan dated October 2, 2007. |
(2) | Reflects the average sale price of the total shares sold. Actual sales prices are as follows: 300 shares at $42.56; 12,400 shares at $42.55; 2,033 shares at $42.53; 4,000 shares at $42.52; 5,268 shares at $42.51; 14,800 shares at $42.50; 2,299 shares at $42.49; 300 shares at $42.48; 3,000 shares at $42.47; 5,559 shares at $42.45; and 100 shares at $42.28. |
(3) | Option vests at a rate of 25% on June 30, 2006 and 2.084% for each of the 36 months thereafter. |
(4) | Option vests at a rate of 25% on October 31, 2005 and 2.084% for each of the 36 months thereafter. |
(5) | Option vests in equal monthly amounts over 48 months beginning on November 1, 2005. |
(6) | Option is fully vested. |
(7) | Options vest in equal monthly amounts over 48 months beginning on June 1, 2006. |