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.
Ciena Corporation (CIEN) – Form 4 insider filing
Senior Vice President & Chief Strategy Officer David M. Rothenstein reported a series of five transactions on 20 June 2025 involving a total of 1,742 shares of Ciena common stock at the reference price of $74.53. All transactions were coded “F,” indicating that the shares were withheld by the company to satisfy payroll-tax obligations arising from previously granted restricted-stock-unit (RSU) awards dated between 2021 and 2024. No open-market sales or purchases were made.
Following the tax-withholding events, the executive’s direct beneficial ownership declined from roughly 199,870 shares to 198,128 shares, a reduction of 0.9 %. The holding figure continues to include unvested RSUs and performance stock units (PSUs), signalling that the executive retains a sizable equity stake aligned with shareholders’ interests.
Because the disposition was administrative and represents less than 1 % of the insider’s holdings, the market impact is likely immaterial. The filing does, however, confirm ongoing vesting of equity awards and the executive’s continued role with the company.
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.
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