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.
Ciena Corporation filings document regulatory disclosures for a public networking-technology company focused on high-speed connectivity, optical systems, interconnects, automation software and services. Recent Form 8-K reports cover operating and financial results, investor presentation exhibits, material-event disclosures, material agreements, capital-structure matters and the completed acquisition of Nubis Communications.
Proxy and annual-meeting filings disclose governance matters, director elections, auditor ratification, advisory executive-compensation votes and related shareholder voting results. These records frame Ciena’s reporting around operating performance, corporate governance, ownership and compensation procedures, acquisition-related events and other formal disclosure obligations.
Ciena Corporation SVP and Chief Strategy Officer David M. Rothenstein reported routine tax-related share dispositions. On March 20, 2026, a total of 2,113 shares of Ciena common stock were withheld at $383.89 per share to cover tax liabilities on previously granted RSU awards. After these withholdings, he directly held 195,081 shares, which the footnotes state include unvested RSUs and PSUs. These F-code transactions are not open-market sales but administrative withholdings tied to vesting compensation.
Ciena Corp senior vice president of Global Sales and Marketing Jason Phipps reported tax-related share dispositions tied to restricted stock unit vesting. On March 20, 2026, a total of 2,374 shares of common stock were withheld at $383.89 per share to cover his tax liabilities.
The Form 4 shows four separate F-code transactions, all classified as tax-withholding dispositions rather than open‑market sales. After these withholdings, Phipps directly holds 89,391 shares of Ciena common stock, and this figure includes unvested RSUs and performance stock units noted in the footnotes.
CIENA CORP SVP and General Counsel Sheela Kosaraju reported routine share dispositions related to tax withholding on vested equity awards. On March 20, 2026, a total of 2,012 shares of common stock were withheld at $383.89 per share to cover tax liabilities tied to several Restricted Stock Unit (RSU) agreements previously granted between December 2022 and December 2025.
These F-code transactions are not open-market sales but payments of tax obligations using shares. After these withholdings, Kosaraju directly owned 94,119 shares of CIENA CORP common stock, and this figure includes unvested RSUs and Performance Stock Units as noted in the disclosure.
Ciena Corporation’s SVP & Chief Financial Officer Marc D. Graff reported a routine tax-related share disposition. On March 20, 2026, 199 shares of common stock were withheld to cover tax liabilities tied to a previously granted restricted stock unit (RSU) award. This was not an open-market sale but an automatic withholding mechanism. After this transaction, Graff directly held 127,406 common shares, and the reported holdings also include unvested RSUs.
Ciena Corporation senior vice president Gage Brodie reported routine tax-related share withholdings rather than open-market sales. On March 20, 2026, a total of 1,932 shares of Ciena common stock were disposed of at $383.89 per share to cover tax liabilities tied to multiple restricted stock unit (RSU) awards previously disclosed in earlier Forms 3 and 4. After these tax-withholding transactions, Brodie directly holds 51,341 shares of Ciena common stock, and the reported holdings include unvested RSUs and performance stock units (PSUs).
Ciena Corp senior vice president of Global R&D Dino DiPerna reported routine share withholdings for taxes tied to restricted stock units. On March 20, 2026, a total of 2,052 shares of common stock were disposed of at $383.89 per share to cover tax liabilities on multiple RSU awards.
After these tax-withholding dispositions, DiPerna directly owned 45,289 shares of Ciena common stock, and this figure includes unvested restricted stock units and performance stock units. These transactions were not open-market sales but automatic share withholdings by the company to satisfy tax obligations on previously granted equity awards.
Ciena Corp senior executive Joseph Cumello reported routine tax-related share withholdings. On March 20, 2026, a total of 1,527 shares of Ciena common stock were withheld to cover his tax liabilities arising from several previously granted restricted stock unit (RSU) awards.
These Form 4 transactions, coded "F", reflect shares delivered back to the company for taxes, not open-market sales. After these withholdings, Cumello directly holds 47,948 shares of Ciena common stock, which the disclosure states include unvested RSUs and performance stock units (PSUs).
Ciena Corporation’s President and CEO Gary B. Smith reported an open-market sale of company stock. On this Form 4, he sold 2,952 shares of Ciena common stock on March 16, 2026 at a weighted average price of $359.5273 per share.
The sales were executed under a pre-arranged Rule 10b5-1 trading plan dated October 4, 2025, meaning the trades were scheduled in advance. After this transaction, Smith directly holds 293,084 Ciena shares, which include unvested Restricted Stock Units and Performance Stock Units. The sale price reflects multiple trades in a range from $349.4950 to $366.5750.
Ciena Corp senior vice president and Chief Strategy Officer David M. Rothenstein sold 2,500 shares of common stock in an open-market transaction. The sale took place on March 16, 2026 at a reported price of $345.0000 per share and was executed under a pre-arranged Rule 10b5-1 trading plan dated October 10, 2025, indicating it was scheduled in advance.
Following this transaction, Rothenstein directly holds 197,194 shares of Ciena common stock, and this figure includes unvested Restricted Stock Units and Performance Stock Units. The filing shows no derivative securities remaining after this sale.