Welcome to our dedicated page for Ciena SEC filings (Ticker: CIEN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Optical networking revenue split across hardware, software, and services makes Ciena’s disclosures dense. Sorting through hundreds of pages to find Blue Planet ARR growth, upcoming 800 G launches, or backlog tied to Tier-1 carriers can slow any analyst. That complexity drives questions like “How do I track Ciena insider trading Form 4 transactions before new contracts hit?”
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Ciena Corporation (CIEN) – Form 144 notice of proposed insider sale
The filing discloses a planned disposition of 2,044 common shares of Ciena Corporation under Rule 144. The securities were acquired on 06/20/2025 through restricted stock units (RSUs). They are scheduled to be sold around 06/27/2025 through broker Morgan Stanley Smith Barney LLC, Executive Financial Services, New York.
Key figures
- Planned sale volume: 2,044 shares
- Aggregate market value (as stated in the notice): $166,606.44
- Ciena common shares outstanding: 141,367,218
- Percentage of outstanding shares represented by this sale: ≈0.0014%
The filer indicates no other sales during the past three months and makes the standard representation that no undisclosed material adverse information is known. No details about the seller’s identity or relationship to the issuer are included in the submission, and the “Remarks” section is blank.
Given the modest size relative to the company’s share count and the absence of accompanying negative disclosures, the transaction appears routine and is unlikely to have a material impact on Ciena’s capital structure or market liquidity.
Form 4 snapshot – CIENA Corporation (CIEN): President & CEO Gary B. Smith reported four separate “F”-code transactions on 20 June 2025. Code F denotes shares withheld by the issuer solely to satisfy the executive’s tax obligations triggered by the vesting of previously granted Restricted Stock Units (RSUs). No open-market sale occurred; the shares never entered the public float.
Key details
- Total shares withheld: 9,323 (2,933 + 3,048 + 1,713 + 1,629)
- Price used for withholding: $74.53 per share on each line, implying a tax-settlement value of roughly US$0.70 million.
- Post-transaction beneficial ownership: 339,157 common shares, which includes unvested RSUs and Performance Stock Units (PSUs) the executive still controls.
- Executive roles: Director; President & Chief Executive Officer.
- Related award grant dates: RSU awards dated 12/13/2022, 12/12/2023, 12/17/2024 and 12/14/2021, all previously disclosed.
Investor takeaway: The filing reflects routine, non-discretionary share withholding associated with equity award vesting. While the insider’s direct holdings decline by 9,323 shares, the reduction is purely administrative and does not signal a change in sentiment or strategy. Smith retains a substantial stake (≈ 339 k shares) aligned with shareholder interests. No option exercises, open-market sales, or new equity grants were reported in this Form 4.
Jason Phipps, SVP Global Sales and Marketing at Ciena Corporation (CIEN), reported multiple transactions related to tax withholding on RSU vestings on June 20, 2025. The transactions involved:
- Disposition of 493 shares from a December 2022 RSU grant
- Disposition of 774 shares from a December 2023 RSU grant
- Disposition of 508 shares from a December 2024 RSU grant
- Disposition of 325 shares from a December 2021 RSU grant
All shares were withheld at $74.53 per share to cover tax liabilities. Following these transactions, Phipps beneficially owns 87,158 shares, including unvested RSUs and PSUs. The Form 4 was filed by Michelle Rankin on behalf of Jason Phipps on June 23, 2025.
Ciena Corporation SVP and General Counsel Sheela Kosaraju reported multiple transactions related to tax withholding on restricted stock units (RSUs) on June 20, 2025. The transactions involved:
- Disposition of 1,921 total shares at a price of $74.53 per share through multiple withholding events
- Withholdings stemmed from RSU awards granted between December 2021 and December 2024
- Following these transactions, Kosaraju beneficially owns 90,077 shares, including unvested RSUs and Performance Stock Units (PSUs)
These transactions were standard tax withholding events related to the vesting of previously awarded RSUs, rather than open market sales. All dispositions were made under the code "F" indicating tax withholding transactions. The filing was submitted on behalf of Kosaraju by Michelle Rankin on June 23, 2025.
Ciena Corporation (CIEN) SVP of Global Products & Supply, Brodie Gage, reported multiple tax-related share dispositions on June 20, 2025. The transactions involved the withholding of shares to cover tax liabilities related to various Restricted Stock Unit (RSU) awards:
- 204 shares at $74.53 (from 10/27/2023 RSU award)
- 442 shares at $74.53 (from 12/13/2022 RSU award)
- 669 shares at $74.53 (from 12/12/2023 RSU award)
- 388 shares at $74.53 (from 12/17/2024 RSU award)
- 212 shares at $74.53 (from 12/14/2021 RSU award)
Following these transactions, Gage beneficially owns 43,968 shares, which includes unvested RSUs and Performance Stock Units (PSUs). The Form 4 was filed by Michelle Rankin on behalf of Brodie Gage on June 23, 2025.
Ciena (NYSE:CIEN) filed a Form 4 disclosing routine insider activity by Senior Vice President of Global R&D, Dino DiPerna.
On 06/20/2025, a total of 2,125 common shares were withheld at $74.53 per share (≈ $158 thousand) to cover tax obligations triggered by the vesting of previously reported RSU grants dated 2021-2024. After these administrative, non-market transactions, DiPerna’s direct beneficial ownership stands at 44,122 shares. No open-market purchases or sales occurred; the filing reflects standard tax-withholding adjustments only.
Ciena Corporation (CIEN) – Form 4 insider filing
On 23 June 2025, Ciena disclosed that Joseph Cumello, Senior Vice President & General Manager of Blue Planet, settled tax obligations related to five separate Restricted Stock Unit (RSU) vestings on 20 June 2025. Transaction code “F” indicates shares were withheld by the issuer, not sold on the open market.
- Total shares withheld: 1,625 common shares (366 + 179 + 572 + 326 + 182) at a value reference price of $74.53 per share.
- Post-withholding beneficial ownership: 49,242 common shares, including unvested RSUs and PSUs.
- All withholdings relate to previously reported RSU grants dated 12/13/2022, 2/1/2023, 12/12/2023, 12/17/2024 and 12/14/2021.
The activity is routine, non-open-market, and solely for tax-payment purposes; therefore, it is typically considered neutral from a valuation standpoint.
Form 4 snapshot: On 06/16/2025, Ciena Corporation (CIEN) President & CEO Gary B. Smith disclosed the sale of 6,800 common shares.
The shares were disposed at a weighted-average price of $74.185 (individual trades ranged $72.905-$74.86). The transaction was executed under a Rule 10b5-1 trading plan adopted 09/11/2024, signalling it was pre-arranged and not necessarily tied to current company-specific news.
Following the sale, Smith’s beneficial ownership stands at 348,480 shares, which includes unvested RSUs and PSUs and represents an estimated 2 % reduction of his previously reported direct holdings. No derivative security transactions were reported in Table II.
Because the divestiture is small relative to the CEO’s remaining stake and is covered by a 10b5-1 plan, the filing is likely to be viewed as routine portfolio management. Nevertheless, investors often monitor any insider activity—especially by the chief executive—for sentiment cues. No other material corporate events, earnings figures, or additional insider trades were disclosed in this filing.
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