Ciena's Dino DiPerna has 2,053 shares withheld for taxes

CIENA’s EVP & Chief R&D Officer had 2,053 shares withheld to cover taxes from vested RSU awards.

Rhea-AI Filing Summary

CIENA CORP (CIEN) reported that EVP & Chief R&D Officer Dino DiPerna disposed of shares of common stock on September 20, 2026, in transactions coded "F" for payment of tax liabilities. A total of 2,053 shares were withheld at $348.80 per share in five separate events tied to previously reported RSU awards; shares reported for ownership include unvested RSUs and PSUs, and no Rule 10b5-1 trading plan is indicated.

Insider Trade Summary

Tax Withholding: 2,053 shares

Tax Withholding 5 txns

Insider DiPerna Dino

Role EVP & Chief R&D Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	204	$348.80	$71K
Tax Withholding	Common Stock F3, F2	444	$348.80	$155K
Tax Withholding	Common Stock F4, F2	730	$348.80	$255K
Tax Withholding	Common Stock F5, F2	428	$348.80	$149K
Tax Withholding	Common Stock F6, F2	247	$348.80	$86K

Holdings After Transaction: Common Stock — 37,073 shares (Direct)

Footnotes (6)

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 10/27/2023. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 10/31/2023.
2. F2. Shares reported include unvested Restricted Stock Units (RSUs) and Performance Stock Units (PSUs).
3. F3. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/13/2022. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 3 filed on 10/31/2023.
4. F4. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/12/2023. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 12/14/2023.
5. F5. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/17/2024. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 12/19/2024.
6. F6. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/16/2025. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 12/18/2025.

Key Figures

Total shares withheld for taxes: 2,053 shares Per-share reference price: $348.80 per share Shares withheld (RSU award dated 10/27/2023): 204 shares +5 more

8 metrics

Total shares withheld for taxes 2,053 shares Common stock withheld on September 20, 2026 for tax liabilities on RSU vesting

Per-share reference price $348.80 per share Applied to all five code F common stock transactions on September 20, 2026

Shares withheld (RSU award dated 10/27/2023) 204 shares Common shares withheld for tax liabilities tied to that RSU award

Shares withheld (RSU award dated 12/13/2022) 444 shares Common shares withheld for tax liabilities tied to that RSU award

Shares withheld (RSU award dated 12/12/2023) 730 shares Common shares withheld for tax liabilities tied to that RSU award

Shares withheld (RSU award dated 12/17/2024) 428 shares Common shares withheld for tax liabilities tied to that RSU award

Shares withheld (RSU award dated 12/16/2025) 247 shares Common shares withheld for tax liabilities tied to that RSU award

Code F tax-liability transactions 5 transactions Non-derivative dispositions for tax liability payment on September 20, 2026

Key Terms

Restricted Stock Units (RSUs), Performance Stock Units (PSUs), tax liabilities, Form 4, +1 more

5 terms

Restricted Stock Units (RSUs) financial

"Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award"

Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.

Performance Stock Units (PSUs) financial

"Shares reported include unvested Restricted Stock Units (RSUs) and Performance Stock Units (PSUs)."

Performance stock units (PSUs) are a form of executive or employee pay that promise company shares only if pre-set performance goals are met over a defined period; think of them as a bonus paid in stock that arrives only when the company hits agreed targets. Investors watch PSUs because they affect the number of shares outstanding (dilution) and reveal how management’s pay is tied to financial or operational results, aligning incentives with shareholder outcomes.

tax liabilities financial

"Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit"

Form 4 regulatory

"Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

code F regulatory

"Payment of tax liability by delivering or withholding securities"

FAQ

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

What insider transaction did CIEN executive Dino DiPerna report?

Dino DiPerna reported five code F transactions on September 20, 2026, where a total of 2,053 CIEN common shares were withheld to cover tax liabilities arising from vested restricted stock unit awards, at a reference price of $348.80 per share.

Did CIEN’s Dino DiPerna sell shares in the open market in this Form 4?

No. The Form 4 reports code F transactions, meaning shares were withheld to pay tax liabilities on vested RSUs, not open-market sales or purchases. The filing describes these as payments of tax liabilities by delivering or withholding securities.

How many CIEN shares were withheld in total for Dino DiPerna’s taxes?

In total, 2,053 CIEN common shares were withheld on September 20, 2026, to cover tax liabilities related to multiple restricted stock unit award agreements previously disclosed in earlier Forms 3 and 4.

What was the reference price per CIEN share in Dino DiPerna’s tax-withholding transactions?

Each of the reported tax-withholding transactions used a price of $348.80 per CIEN share. This figure applies across all five code F entries on September 20, 2026, for the common stock dispositions.

Were Dino DiPerna’s CIEN transactions under a Rule 10b5-1 trading plan?

No. The filing’s Rule 10b5-1 checkbox is marked false, and the footnotes do not indicate any trading plan. The transactions are described solely as shares withheld to pay tax liabilities from previously granted RSU awards.

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

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Available on EDGAR 09/22/2026 - 03:22 PM Accepted by SEC EDGAR 09/22/2026 - 03:21 PM Learn about SEC filing dates

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^*

DiPerna Dino

(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 R&D Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/20/2026

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	09/20/2026		F		204(1)	D	$348.8	38,922(2)	D
Common Stock	09/20/2026		F		444(3)	D	$348.8	38,478(2)	D
Common Stock	09/20/2026		F		730(4)	D	$348.8	37,748(2)	D
Common Stock	09/20/2026		F		428(5)	D	$348.8	37,320(2)	D
Common Stock	09/20/2026		F		247(6)	D	$348.8	37,073(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 10/27/2023. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 10/31/2023.

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

3. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/13/2022. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 3 filed on 10/31/2023.

4. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/12/2023. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 12/14/2023.

5. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/17/2024. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 12/19/2024.

6. Represents shares withheld to cover payment of the tax liabilities of the reporting person related to a restricted stock unit (RSU) award agreement dated 12/16/2025. Acquisition of the RSU was previously reported in Table I of the reporting person's Form 4 filed on 12/18/2025.

	By: Michelle Rankin For: Dino Diperna	09/21/2026
	** 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)