CIEN (NYSE) Rule 144 notice: 2,500 shares listed; insider 10b5-1 sales recorded

Rhea-AI Filing Summary

CIEN Rule 144 notice reports an intended sale of 2,500 shares of Common Stock associated with Restricted Stock Units, entered through Morgan Stanley Smith Barney LLC. The filing also lists three 10b5-1 sales by David Rothenstein: 2,500 shares on 04/15/2026, 2,500 shares on 03/16/2026, and 2,500 shares on 02/17/2026, with gross proceeds shown for each sale.

Insights

Securities Compliance Analyst

Rule 144 notice for a planned resale and recent 10b5-1 sales.

The filing lists 2,500 shares of Common Stock identified under Restricted Stock Units to be sold through Morgan Stanley Smith Barney LLC. The entry cites the instrument date 06/20/2020, consistent with an award vesting or grant date.

The excerpt shows three executed 10b5-1 sales by David Rothenstein of 2,500 shares each on 02/17/2026, 03/16/2026, and 04/15/2026, with gross proceeds recorded. Cash‑flow treatment and final net amounts are not detailed in the excerpt.

Key Figures

Shares listed to be sold: 2,500 shares 10b5-1 sale (Apr): 2,500 shares 10b5-1 sale (Mar): 2,500 shares +1 more

4 metrics

Shares listed to be sold 2,500 shares Securities To Be Sold; Restricted Stock Units dated 06/20/2020

10b5-1 sale (Apr) 2,500 shares Sale on <date>04/15/2026</date> with gross proceeds $1,169,134.00

10b5-1 sale (Mar) 2,500 shares Sale on <date>03/16/2026</date> with gross proceeds $862,500.00

10b5-1 sale (Feb) 2,500 shares Sale on <date>02/17/2026</date> with gross proceeds $750,498.00

Key Terms

Rule 144, 10b5-1, Restricted Stock Units

3 terms

Rule 144 regulatory

"144: Securities To Be Sold"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

10b5-1 regulatory

"10b5-1 Sales for DAVID ROTHENSTEIN"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Restricted Stock Units financial

"Restricted Stock Units | Issuer | 06/20/2020"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	2500	1478925.00	141398427	05/15/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	06/20/2020	Restricted Stock Units	Issuer			2500	06/20/2020	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for DAVID ROTHENSTEIN 7035 Ridge Road Hanover MD 21076	Common	04/15/2026	2500	1169134.00
10b5-1 Sales for DAVID ROTHENSTEIN 7035 Ridge Road Hanover MD 21076	Common	03/16/2026	2500	862500.00
10b5-1 Sales for DAVID ROTHENSTEIN 7035 Ridge Road Hanover MD 21076	Common	02/17/2026	2500	750498.00

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the CIEN Form 144 disclose about shares to be sold?

The filing discloses an intended sale of 2,500 shares of Common Stock tied to Restricted Stock Units dated 06/20/2020. The sales are to be handled through Morgan Stanley Smith Barney LLC according to the notice.

Who executed recent 10b5-1 sales reported in the CIEN filing?

David Rothenstein executed three 10b5-1 sales: 2,500 shares on 02/17/2026, 2,500 shares on 03/16/2026, and 2,500 shares on 04/15/2026, with gross proceeds shown for each sale.

Are the gross proceeds for the 10b5-1 sales listed in the CIEN filing?

Yes, the excerpt shows gross proceeds for each 10b5-1 sale: $750,498.00 on 02/17/2026, $862,500.00 on 03/16/2026, and $1,169,134.00 on 04/15/2026, as reported in the filing.

Which broker is named for the planned resale in the CIEN Form 144?

The broker-dealer listed is Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza. The notice names that firm as the intermediary for the 2,500 share sale.

Does the CIEN excerpt state whether the company receives proceeds from these sales?

The excerpt does not state proceeds flow to the company. The Form 144 lists the securities and broker; it does not indicate that CIEN will receive proceeds from these resale transactions.