FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/31/2008 |
3. Issuer Name and Ticker or Trading Symbol
CIENA CORP [ CIEN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 25,160(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option (right to buy) | (2) | 06/10/2015 | Common Stock | 3,571 | 16.52 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 10/26/2014 | Common Stock | 2,678 | 16.87 | D | |
Non-Qualified Stock Option (right to buy) | (4) | 10/26/2015 | Common Stock | 3,571 | 17.43 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 12/10/2014 | Common Stock | 2,142 | 19.95 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 07/26/2014 | Common Stock | 3,214 | 20.65 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 11/05/2013 | Common Stock | 1,320 | 46.9 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 10/16/2011 | Common Stock | 2,692 | 114.66 | D |
Explanation of Responses: |
1. Shares reported include restricted stock unit (RSU) awards previously granted representing, in the aggregate, 22,114 shares that remain unvested as of the date of this report. Shares subject to these awards vest over a four-year period from the date of grant with one-sixteenth of the grant amount vesting on March 20, June 20, September 20, and December 20 of each year. |
2. The remaining 595 unvested options vest in equal monthly amounts on the last day of each month through 6/30/2009. |
3. Option is fully vested. |
4. The remaining 893 unvested options vest in equal monthly amounts on the last day of each month through 10/31/2009. |
By: Erik Lichter For: David M. Rothenstein | 11/04/2008 | |
** 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 5 (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 Number. |