Ciena CFO has 3,759 shares withheld to cover taxes

The withheld shares covered tax liabilities tied to an RSU award, while the reported post-transaction holdings include unvested RSUs.

Available on EDGAR 11/03/2026 - 03:46 PM EST Accepted by SEC EDGAR 11/03/2026 - 03:46 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Ciena Corp.'s EVP & Chief Financial Officer, Marc D. Graff, had 3,759 shares withheld on November 1, 2026, to cover tax liabilities tied to a restricted stock unit (RSU) award agreement dated August 1, 2025. The shares were reported at $320.72 per share, and his reported post-transaction position was 103,377 shares, including unvested RSUs. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Tax Withholding: 3,759 shares

Tax Withholding 1 txn

Insider Graff Marc D.

Role EVP & Chief Financial Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	3,759	$320.72	$1.21M

Holdings After Transaction: Common Stock — 103,377 shares (Direct)

Footnotes (2)

1. F1. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 08/01/2025. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 8/05/2025.
2. F2. Shares reported include unvested Restricted Stock Units (RSUs)

Key Figures

Shares withheld for tax liabilities: 3,759 shares Transaction price: $320.72 per share Post-transaction shares: 103,377 shares

3 metrics

Shares withheld for tax liabilities 3,759 shares November 1, 2026

Transaction price $320.72 per share November 1, 2026

Post-transaction shares 103,377 shares Includes unvested RSUs

Key Terms

restricted stock unit (RSU), unvested Restricted Stock Units, Rule 10b5-1 plan

3 terms

restricted stock unit (RSU) technical

"related to a restricted stock unit (RSU) award agreement"

A restricted stock unit (RSU) is a promise from a company to give an employee company shares (or cash equal to their value) at a future date if certain conditions are met, such as staying with the company or hitting performance targets. For investors, RSUs matter because when they convert into actual shares they increase the number of shares available and can create selling pressure as employees cash out—think of them as a future paycheck paid in company stock.

unvested Restricted Stock Units technical

"Shares reported include unvested Restricted Stock Units (RSUs)"

Rule 10b5-1 plan regulatory

"Rule 10b5-1 plan"

A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many CIEN shares did CFO Marc D. Graff have withheld?

Marc D. Graff had 3,759 shares withheld on November 1, 2026, to cover tax liabilities tied to an RSU award; the transaction price was $320.72 per share. His reported post-transaction position was 103,377 shares, including unvested RSUs. No Rule 10b5-1 plan is reported.

Was the RSU acquisition behind the CIEN tax withholding previously reported?

Yes. The RSU acquisition had been reported in Marc D. Graff's Form 4 filed on August 5, 2025; the related award agreement was dated August 1, 2025.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Graff Marc D.

(Last) (First) (Middle)

C/O CIENA CORPORATION

8150 MAPLE LAWN BOULEVARD, SUITE 300

(Street)

FULTON MARYLAND 20759

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CIENA CORP [ CIEN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP & Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	11/01/2026		F		3,759(1)	D	$320.72	103,377(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 08/01/2025. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 8/05/2025.

2. Shares reported include unvested Restricted Stock Units (RSUs)

	By: Michelle Rankin For: Marc D Graff	11/02/2026
	** 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 4 (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.
* Form 4: SEC 1474 (03-26)