Insider · CIK 0001128899

SMITH JOEL A III

Reports to the SEC for 5 companies · SAN JOSE, CA

sec.gov

Transactions

Companies

Filings

CIK

0001128899

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2018-12-10	OCLARO, INC.Stock Options (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−14.9K sh	—	—	0
2018-12-10	OCLARO, INC.Stock Options (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−3,334 sh	—	—	0
2018-12-10	OCLARO, INC.D Disposition to Issuer	Director	DDisposition to Issuer	−230K sh	—	—	0
2018-12-10	OCLARO, INC.D Disposition to Issuer	Director	DDisposition to Issuer	−86 sh	—	—	0
2018-12-10	OCLARO, INC.Stock Options (Right to Buy)D Disposition to Issuer	Director	DDisposition to Issuer	−8,000 sh	—	—	0
2018-11-09	OCLARO, INC.Stock Option (Right to Buy)M Exercise/Conversion	Director	MExercise/Conversion	−1,447 sh	—	—	0
2018-11-09	OCLARO, INC.M Exercise/Conversion	Director	MExercise/Conversion	+1,447 sh	$1.50	+$2,170.5	229,691
2017-12-22	OCLARO, INC.G Gift	Director	GGift	−9,000 sh	—	—	228,244
2017-11-17	OCLARO, INC.A Award	Director	AAward	+18.8K sh	—	—	237,244
2016-11-18	OCLARO, INC.A Award	Director	AAward	+12.1K sh	—	—	218,482
2015-11-10	OCLARO, INC.A Award	Director	AAward	+34.8K sh	—	—	206,399
2015-05-22	OCLARO, INC.P Purchase	Director	PPurchase	+10K sh	$2.19	+$21.9K	171,649
2014-11-14	OCLARO, INC.A Award	Director	AAward	+50K sh	—	—	161,649
2014-01-14	OCLARO, INC.A Award	Director	AAward	+45.7K sh	—	—	111,735
2012-10-30	OCLARO, INC.A Award	Director	AAward	+43.9K sh	—	—	65,997
2011-10-26	OCLARO, INC.A Award	Director	AAward	+10.4K sh	—	—	22,079
2011-10-26	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+14.9K sh	—	—	14,881
2010-10-27	OCLARO, INC.A Award	Director	AAward	+2,412 sh	—	—	11,678
2010-10-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+3,898 sh	—	—	3,898
2009-10-21	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+40K sh	—	—	40,000
2009-08-24	FIRST NATIONAL BANCSHARES INC /SC/P Purchase	Director	PPurchase	+55K sh	$1.00	+$55K	82,860
2009-08-24	FIRST NATIONAL BANCSHARES INC /SC/Warrant to purchase common stockP Purchase	Director	PPurchase	+13.8K sh	—	—	16,685
2009-05-13	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+16.7K sh	—	—	16,667
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+7,232 sh	—	—	7,232
2009-04-27	AVANEX CORPD Disposition to Issuer	Director	DDisposition to Issuer	−8,465 sh	—	—	0
2009-04-27	AVANEX CORPD Disposition to Issuer	Director	DDisposition to Issuer	−80 sh	—	—	0
2009-04-27	OCLARO, INC.A Award	Director	AAward	+3,613 sh	—	—	46,364
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+3,613 sh	—	—	3,613
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+3,613 sh	—	—	3,613
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+2,713 sh	—	—	2,713
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+3,613 sh	—	—	3,613
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+1,806 sh	—	—	1,806
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+3,613 sh	—	—	3,613
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+7,232 sh	—	—	7,232
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+7,232 sh	—	—	7,232
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+7,232 sh	—	—	7,232
2009-04-27	OCLARO, INC.Stock Option (Right to Buy)A Award	Director	AAward	+7,232 sh	—	—	7,232
2008-11-13	AVANEX CORPNon-Qualified Stock Option (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−1,333 sh	—	—	0
2008-01-31	CAROLINA NATIONAL CORPD Disposition to Issuer	Director	DDisposition to Issuer	−20K sh	—	—	0
2008-01-31	CAROLINA NATIONAL CORPStock WarrantsD Disposition to Issuer	Director	DDisposition to Issuer	−10K sh	$11.65	−$117K	0
2008-01-31	CAROLINA NATIONAL CORPStock OptionsD Disposition to Issuer	Director	DDisposition to Issuer	−2,000 sh	—	—	0
2008-01-21	AVANEX CORPA Award	Director	AAward	+3,646 sh	$0.00	+$3.646	53,246
2007-11-15	AVANEX CORPNon-Qualified Stock Option (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−1,333 sh	—	—	0
2007-04-23	AVANEX CORPA Award	Director	AAward	+2,000 sh	$0.00	+$2	24,835
2006-11-03	AVANEX CORPNon-Qualified Stock Option (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−1,333 sh	—	—	0
2006-10-27	AVANEX CORPA Award	Director	AAward	+4,216 sh	—	—	19,549
2006-05-02	NETBANK INCStock OptionsA Award	Director	AAward	+15K sh	$6.84	+$103K	76,024
2005-10-27	AVANEX CORPNon-Qualified Stock Option (right to buy)D Disposition to Issuer	Director	DDisposition to Issuer	−1,333 sh	—	—	0
2005-07-26	AVANEX CORPA Award	Director	AAward	−7,000 sh	—	—	7,000
2005-04-28	NETBANK INCStock OptionsA Award	Director	AAward	+15K sh	$8.25	+$124K	61,024

Recent filings

Accepted (ET)
Dec 104
SMITH JOEL A III0001214659-18-007616
SEC(opens sec.gov)
Nov 134
SMITH JOEL A III0001214659-18-007081
SEC(opens sec.gov)
Dec 224
SMITH JOEL A III0001214659-17-007446
SEC(opens sec.gov)
Nov 214
SMITH JOEL A III0001214659-17-006896
SEC(opens sec.gov)
Nov 224
OCLARO, INC.0001214659-16-014905
SEC(opens sec.gov)
Nov 124
OCLARO, INC.0001214659-15-007682
SEC(opens sec.gov)
May 264
OCLARO, INC.0001214659-15-004258
SEC(opens sec.gov)
Nov 184
OCLARO, INC.0001214659-14-007838
SEC(opens sec.gov)
Jan 164
OCLARO, INC.0001214659-14-000401
SEC(opens sec.gov)
Sep 94
OCLARO, INC.0001214659-13-005150
SEC(opens sec.gov)
Oct 274
SMITH JOEL A III0001417327-11-000035
SEC(opens sec.gov)
Oct 294
SMITH JOEL A III0001417327-10-000020
SEC(opens sec.gov)
Oct 234
OCLARO, INC.0001417327-09-000072
SEC(opens sec.gov)

Companies

Address

2584 JUNCTION AVENUE

SAN JOSE, CA, 95134