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VIAVI SOLUTIONS INC. — Director's Dealing 2013
Sep 27, 2013
31492_dirs_2013-09-27_e114f4a8-6aba-4188-bea0-65acaf6ada69.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: JDS UNIPHASE CORP /CA/ (JDSU)
CIK: 0000912093
Period of Report: 2013-09-25
Reporting Person: WAECHTER THOMAS H (Director, Chief Exec. Officer & Pres.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-25 | Common Stock | M | 55999 | — | Acquired | 104734 | Direct |
| 2013-09-25 | Common Stock | F | 29221 | $14.60 | Disposed | 75513 | Direct |
| 2013-09-25 | Common Stock | M | 70800 | — | Acquired | 146313 | Direct |
| 2013-09-25 | Common Stock | F | 36944 | $14.60 | Disposed | 109369 | Direct |
| 2013-09-26 | Common Stock | S | 60634 | $14.7144 | Disposed | 48735 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-09-25 | Restricted Stock Unit | $0 | M | 55999 | Disposed | Common Stock (55999) | Direct | |
| 2013-09-25 | Restricted Stock Unit | $0 | M | 70800 | Disposed | Common Stock (70800) | Direct |
Footnotes
F1: Each unit converts upon vesting into one share of common stock.
F2: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.
F3: Reflects the number of restricted stock units ("RSUs") that vested on September 25, 2013. Details of the conditions under which the RSUs vest were disclosed on the Form 4 filed on 8/17/2011.
F4: Reflects the number of restricted stock units ("RSUs") that vested on September 25, 2013. Details of the conditions under which the RSUs vest were disclosed on the Form 4 filed on 8/24/2012.
F5: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.56 to $14.85, inclusive. The reporting person undertakes to provide to Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes to this Form 4.