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Form 4: Smith Gary B Ciena Corp

Gary B. Smith, President and CEO of Ciena Corp, sold 4,800 shares of Ciena common stock on July 12, 2011 at a weighted average price between $16.71 to $17.22 per share according to a pre-arranged trading plan. After the transaction, Smith beneficially owned 498,624 shares including unvested restricted stock units. The filing was signed on Smith's behalf to report the stock sale transaction to the SEC as required.

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121 views

Form 4: Smith Gary B Ciena Corp

Gary B. Smith, President and CEO of Ciena Corp, sold 4,800 shares of Ciena common stock on July 12, 2011 at a weighted average price between $16.71 to $17.22 per share according to a pre-arranged trading plan. After the transaction, Smith beneficially owned 498,624 shares including unvested restricted stock units. The filing was signed on Smith's behalf to report the stock sale transaction to the SEC as required.

Uploaded by

Anonymous Feglbx5
Copyright
© Attribution Non-Commercial (BY-NC)
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 1

7/17/2011

SEC FORM 4

SEC Form 4

FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION


Washington, D.C. 20549

OMB APPROVAL
OMB Number: 3235-0287 Nov ember 30, 2011

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP


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 2. Issuer Name and Ticker or Trading Symbol

Expires:

Estimated av erage burden hours per response: 0.5

1. Name and Address of Reporting Person *

SMITH GARY B
(Last) (First) (Middle)

CIENA CORP [ CIEN ]


3. Date of Earliest Transaction (Month/Day/Year)

5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

X 07/12/2011 X

Director Officer (give title below)

10% Owner Other (specify below)

C/O CIENA CORPORATION 1201 WINTERSON ROAD


(Street) 4. If Amendment, Date of Original Filed (Month/Day/Year)

PRESIDENT, CEO
6. Individual or Joint/Group Filing (Check Applicable Line)

X MD
(State)

Form filed by One Reporting Person Form filed by More than One Reporting Person

LINTHICUM,
(City)

21090
(Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned


1. Title of Security (Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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

Amount

(A) or (D)

Price

Common Stock

07/12/2011

(1)

4,800

$16.9885
(2)

498,624 (3)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)

Code

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Explanation of Responses: 1. Sales were effected pursuant to Rule 10b5-1 trading plan dated January 4, 2011. 2. Reflects the weighted average sales price with transactions in a range of sales prices from $16.71 to $17.22. Upon request by the SEC, full information regarding the number of shares sold at each separate sales price will be provided. 3. Shares reported include unvested Restricted Stock Units (RSUs).

By: Erik Lichter For: Gary B Smith


** Signature of Reporting Person 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.

07/14/2011
Date

Persons w ho respond to the collection of information contained in this form are not required to respond unless the form displays a currently v alid OMB Number.

PDF created with pdfFactory trial version www.pdffactory.com

sec.gov/Archives/edgar//edgardoc.xml

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