Document:

exv10w1

Exhibit 10.1

CIENA CORPORATION

2008 OMNIBUS INCENTIVE PLAN

RESTRICTED STOCK UNIT AGREEMENT

     Ciena Corporation, a Delaware corporation, (the “Company”), hereby grants restricted stock
units relating to shares of its common stock, $.01 par value, (the “Stock”), to the individual
named below as the Grantee, subject to the vesting conditions set forth in this Agreement. This
grant is subject to the terms and conditions set forth in (i) this Agreement, including any
appendix attached hereto (as may be applicable for non-U.S. employees), (ii) the 2008 Omnibus
Incentive Plan (the “Plan”) and (iii) the grant details for this award contained in your account
with the Company’s selected broker. Capitalized terms not defined in this Agreement are defined in
the Plan, and have the meaning set forth in the Plan.

Grant Date:                           , 200   

Grant Number:                     

Name of Grantee:                                                     

Grantee’s Employee Identification Number:                               

Number of Restricted Stock Units Covered by Grant:                             

Vesting Start Date (if other than Grant Date):                                  

Vesting Schedule:

By accepting this grant (whether by signing this Agreement or accepting the grant electronically
via the website of the Company’s selected broker), you agree to the terms and conditions in this
Agreement and in the Plan and agree that the Plan will control in the event any provision of this
Agreement should appear to be inconsistent.

	 	 	 	 	 
	 
	 	 	 	 
	Holder:

	 	 	 	 
	 

	 	 	 	 
	 

	 	(Signature)	 	 
	 
	 	 	 	 
	 
	 	 	 	 
	Ciena Corporation:

	 	 	 	 
	 

	 	 	 	 
	 

	 	By: David M. Rothenstein

Senior Vice President, General Counsel and Secretary	 	 

 

 

CIENA CORPORATION

2008 OMNIBUS INCENTIVE PLAN

RESTRICTED STOCK UNIT AGREEMENT

	 	 	 
	Restricted Stock Unit Transferability

	 	This grant is an award of
restricted stock units in the
number of units set forth on the
first page of this Agreement,
subject to the vesting
conditions described in this
Agreement (“Stock Units”). Your
Stock Units may not be
transferred, assigned, pledged
or hypothecated, whether by
operation of law or otherwise,
nor may the Stock Units be made
subject to execution, attachment
or similar process.
	 
	 	 
	Vesting

	 	Your Stock Units will vest as
indicated on the first page of
this Agreement, provided you
remain in Service on the vesting
date and meet any applicable
vesting requirements set forth
in this Agreement. Except as
provided in this Agreement, or
in any other agreement between
you and the Company, no
additional Stock Units will vest
after your Service has
terminated.
	 
	 	 
	Share Delivery Pursuant to Vested Units;
Withholding Tax

	 	Shares underlying the vested
portion of the Stock Units will
be delivered to you by the
Company as soon as practicable
following the applicable vesting
date for those shares, but in no
event beyond 21/2 months after the
end of the calendar year in
which the shares would have been
otherwise delivered.
	 
	 	 
	 

	 	On the vesting date (or
as soon as practicable
thereafter), a brokerage account
in your name will be credited
with Stock representing the
number of shares that vested
under this grant (the “Vesting
Shares”). If the vesting date is
not a trading day, the Stock
will be delivered on the next
trading day. The Company will
determine, in its sole
discretion, the number of the
Vesting Shares necessary to
cover the amount of any federal,
state, local, and foreign taxes
that the Company is required to
withhold or pay (on behalf of
the Company or you as holder)
with respect to the Stock Units
vesting, rounding up to the
nearest whole Share of Stock
(the “Withholding Shares”).
	 
	 	 
	 

	 	By accepting this award
of Stock Units, you irrevocably
(i) instruct the Company to
deliver the Vesting Shares to
your account; and (ii) authorize
and direct the broker, to sell,
on your behalf, the Withholding
Shares at the market price per
share at the time of such sale,
and (iii) expressly consent to

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	 	the delivery of the proceeds of
the sale of Withholding Shares
to the Company to be used to
fund the payment of any
applicable taxes (whether on
behalf of the Company or you as
holder) with respect to the
Stock Units. You further
acknowledge that this
irrevocable written instruction
is intended to constitute an
instruction pursuant to Rule
10b5-1 of the Exchange Act. The
Company shall be responsible for
the payment of any brokerage
commissions relating to the sale
of the Withholding Shares.
	 
	 	 
	 

	 	You acknowledge that
until the first trading day
following the broker’s sale of
the Withholding Shares, you
shall not be entitled to effect
transactions in the net Vesting
Shares credited to your
brokerage account.
	 
	 	 
	 

	 	The purchase price for the
vested Shares of Stock is deemed
paid by your prior services to
the Company.
	 
	 	 
	Forfeiture of Unvested Units

	 	Except as specifically provided
in this Agreement or as may be
provided in other agreements
between you and the Company, no
additional Stock Units will vest
after your Service has
terminated for any reason and
you will forfeit to the Company
all of the Stock Units that have
not yet vested or with respect
to which all applicable
restrictions and conditions have
not lapsed.
	 
	 	 
	Death

	 	If your Service terminates
because of your death, the Stock
Units granted under this
Agreement will automatically
vest as to the number of Stock
Units that would have vested had
you remained in Service for the
12 month period immediately
following your death.
	 
	 	 
	Disability

	 	If your Service terminates
because of your Disability, the
Stock Units granted under this
Agreement will automatically
vest as to the number of Stock
Units that would have vested had
you remained in Service for the
12 month period immediately
following your Disability.
	 
	 	 
	Termination For Cause

	 	If your Service is terminated
for Cause, then you shall
immediately forfeit all rights
to your Stock Units and this
award shall immediately
terminate.
	 
	 	 
	Leaves of Absence

	 	For purposes of this grant, your
Service does not terminate when
you go on a bona fide leave of
absence approved by the Company,
if the terms of your leave
provide for continued Service
crediting, or when continued
Service crediting is required by
applicable law. The Company will
determine, in

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	 	its sole
discretion, whether and when a
leave of absence constitutes a
termination of Service under the
Plan.
	 
	 	 
	Retention Rights

	 	Neither your Stock Units nor
this Agreement give you the
right to be retained by the
Company or any Affiliate in any
capacity and your Service may be
terminated at any time and for
any reason.
	 
	 	 
	Shareholder Rights

	 	You have no rights as a
shareholder unless and until the
Stock relating to the Stock
Units has been issued to you (or
an appropriate book entry has
been made). Except as described
in the Plan or herein, no
adjustments are made for
dividends or other rights if the
applicable record date occurs
before your Stock is issued (or
an appropriate book entry has
been made). If the Company pays
a dividend on its Stock, you
will, however, be entitled to
receive a cash payment equal to
the per-share dividend paid on
the Stock times the number of
vested Stock Units that you hold
as of the record date for the
dividend.
	 
	 	 
	Applicable Law

	 	Any suit, action or other legal
proceeding that is commenced to
resolve any matter arising under
or relating to this Agreement or
the Plan shall be commenced only
in a court in the State of
Delaware and the parties to this
Agreement consent to the
jurisdiction of such court. You
agree to waive your rights to a
jury trial for any claim or
cause of action based upon or
arising out of this Agreement or
the Plan.
	 
	 	 
	Data Privacy

	 	In order to administer the Plan,
the Company may process personal
data about you. Such data
includes the information
provided in this Agreement,
other appropriate personal and
financial data about you such as
home address and business
addresses and other contact
information, payroll information
and any other information deemed
appropriate by the Company to
facilitate the administration of
the Plan.
	 
	 	 
	 

	 	By accepting this Stock Unit
award, you consent to the
Company’s processing of such
personal data and the transfer
of such data outside the country
in which you work or are
employed, including, with
respect to non-U.S. residents,
to the United States, to
transferees who shall include
the Company and other persons
designated by the Company to
administer the Plan.
	 
	 	 
	Consent to Electronic Delivery

	 	Certain statutory materials
relating to the Plan have been
delivered to you in electronic
form. By accepting this grant,
you consent to electronic
delivery and acknowledge receipt

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	 	of these materials, including
the Plan and Plan prospectus.
	 
	 	 
	Non-U.S. Residents

	 	If you are a non-U.S. resident,
additional terms and conditions
with respect to your award may
apply as set forth on the Stock
Administration page of the
MyCiena intranet.

This Agreement is not a stock certificate or a negotiable instrument.

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APPENDIX A

TO

RESTRICTED STOCK UNIT AGREEMENT

FOR NON-U.S. EMPLOYEES

     This Appendix A includes additional terms and conditions that govern the Award granted to you
under the Plan if you reside in one of the countries listed below. Certain capitalized terms used
but not defined in this Appendix A have the meanings set forth in the Plan and/or the Agreement
governing your Award.

INDIA

     Fringe Benefit Tax Treatment. By accepting the grant of the Stock Units, you consent and agree
to assume any and all liability for fringe benefit tax that may be payable by the Company or any
employer subsidiary thereof (the “Employer”) in connection with your Award and participation in the
Plan as determined in the sole discretion of the Company or the Employer. You understand that the
grant of the Stock Units is contingent upon your agreement to assume liability for fringe benefit
tax payable on the Stock Units and Stock acquired under the Plan. Further, by accepting this award
and participating in the Plan, you agree that the Company and/or the Employer may collect the
fringe benefit tax from you by any reasonable method including the means set forth in the “Share
Delivery Pursuant to Vested Units; Withholding Tax” section of the Agreement. You grant the Company
and Employer the irrevocable authority, as your agent, to sell, retain or procure the sale of Stock
subject to the Award, on your behalf, so that the net proceeds receivable by the Company or
Employer are not less than the amount of any tax for which you and/or the Company may be liable and
the Company or Employer shall remit any balance to you. You agree to reimburse or pay the Company
or Employer, in full, any liability that the Company or Employer incurs towards any fringe benefit
tax, social tax, or other tax paid or payable in respect of the grant of this Award, vesting of the
Award, delivery of the Stock Units or allotment/transfer of the underlying Stock, within the time
and in the manner prescribed by the Company or Employer. As a condition of this award, you also
agree to execute any other consents or elections required to accomplish the foregoing, promptly
upon request of the Company or the Employer.

     Exchange Control Notification. To the extent required by local law, you must immediately
repatriate all proceeds resulting from the sale of shares of Stock issued upon vesting of the Stock
Units to India and convert the proceeds into local currency. You will receive a foreign inward
remittance certificate (“FIRC”) from the bank where you deposit the foreign currency. You should
maintain the FIRC as evidence of the repatriation of funds in the event the Reserve Bank of India
or the Employer requests proof of repatriation.

6exv10w2

Exhibit 10.2

CIENA CORPORATION

2008 OMNIBUS INCENTIVE PLAN

NON-QUALIFIED STOCK OPTION AGREEMENT

     Ciena Corporation, a Delaware corporation, (the “Company”), hereby grants a stock option
exercisable for shares of its common stock, $.01 par value, (the “Stock”), to the individual named
below as the Grantee, subject to the vesting conditions set forth in this Agreement. This grant is
subject to the terms and conditions set forth in (i) this Agreement, including any appendix
attached hereto (as may be applicable for non-U.S. employees), (ii) the 2008 Omnibus Incentive Plan
(the “Plan”) and (iii) the grant details for this award contained in your account with the
Company’s selected broker. Capitalized terms not defined in this Agreement are defined in the Plan,
and have the meaning set forth in the Plan.

Grant Date:                           , 200   

Grant Number:
                   
                       

Name of Grantee:
                                       

Grantee’s Employee Identification Number:                               

Number of Stock Option Shares Covered by Grant:                             

Exercise price per share:                                  

Vesting Schedule:

By accepting this Grant (whether by signing this Agreement or accepting the Grant electronically
via the website of the Company’s selected broker), you agree to the terms and conditions in this
Agreement and in the Plan and agree that the Plan will control in the event any provision of this
Agreement should appear to be inconsistent.

	 	 	 	 	 
	 
	 	 	 	 
	Holder:

	 	 	 	 
	 

	 	 	 	 
	 

	 	(Signature)	 	 
	 
	 	 	 	 
	 
	 	 	 	 
	Ciena Corporation:

	 	 	 	 
	 

	 	By: David M. Rothenstein

Senior Vice President, General Counsel and Secretary	 	 

 

 

CIENA CORPORATION

2008 OMNIBUS INCENTIVE PLAN

NON-QUALIFIED STOCK OPTION AGREEMENT

	 	 	 
	 
	 	 
	Vesting

	 	Your option vests in accordance with the
grant details and vesting schedule set
forth on the first page of this Agreement,
provided you remain in Service on the
vesting date and meet any applicable
vesting requirements set forth in this
Agreement or otherwise applicable to this
grant.
	 
	 	 
	 

	 	This option is only exercisable before it
expires and then only with respect to the
vested portion of the option. You may
exercise this option, in whole or in part,
to purchase a whole number of vested shares
in accordance with the Plan and this
Agreement.
	 
	 	 
	 

	 	Except as provided in this Agreement, or in
any other agreement between you and the
Company, no additional options will vest
after your Service has terminated.
	 
	 	 
	Term

	 	Your option will expire at the close of
business at Company headquarters on the
10th anniversary of the Grant Date. Your
option will expire earlier if your Service
terminates, as described below.
	 
	 	 
	Regular Termination of Service

	 	If your Service terminates for any reason,
other than death, Disability or Cause, then
your option will expire at the close of
business at Company headquarters on the
90th day after your termination date.
	 
	 	 
	Termination for Cause

	 	If your Service is terminated for Cause,
then you shall immediately forfeit all
rights to your option and the option shall
expire immediately upon your termination.
	 
	 	 
	Death

	 	If your Service terminates because of your
death, your option will automatically vest
as to the number of options that would have
vested had you remained in Service for the
12 month period immediately following your
death and your option will expire at the
close of business at Company headquarters
on the date 12 months after the date of
death.
	 
	 	 
	 

	 	If you die during the 90-day period
described in connection with a regular
termination of Service above, and a vested
portion of your option has not yet been
exercised, then your option will instead
expire on the date 12 months after your
termination date.
	 
	 	 
	 

	 	During the12 month period above, your
estate or heirs may exercise the vested
portion of your option.

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	Disability

	 	If your Service terminates because of your
Disability, your option will automatically
vest as to the number of options that would
have vested had you remained in Service for
the 12 month period immediately following
your Disability and your option will expire
at the close of business at Company
headquarters on the date 12 months after
the date of termination.
	 
	 	 
	Leaves of Absence

	 	For purposes of this option, your Service
does not terminate when you go on a bona
fide leave of absence approved by the
Company, if the terms of your leave provide
for continued Service crediting, or when
continued Service crediting is required by
applicable law. The Company will determine,
in its sole discretion, whether and when a
leave of absence constitutes a termination
of Service under the Plan.
	 
	 	 
	Notice of Exercise

	 	When you wish to exercise this option, you
must notify the Company by completing and
electronically submitting such exercise
request via your Employee Stock Plan
account. Such exercise will be effective
only when a valid electronic exercise
submission is received.
	 
	 	 
	Form of Payment

	 	Upon exercise of your option, you must
submit payment of the option price for the
shares you are purchasing. Payment may be
made via (i) cash previously deposited in
your Employee Stock Plan account; (ii) a
“cashless” exercise, by which you deliver
an irrevocable direction to a licensed
securities broker to sell Stock and to
deliver all or part of the sale proceeds to
the Company in payment of the aggregate
option price and any applicable withholding
taxes; or (iii) as otherwise permitted by
the Administrator.
	 
	 	 
	Withholding Taxes

	 	In the event that the Company determines
that any federal, state, local or foreign
tax or withholding payment is required
relating to the exercise or sale of shares
arising from this grant, the Company shall
have the right to require such payments
from you, or withhold such amounts from
other payments due to you from the Company
or any Affiliate. Payment of your
withholding or other taxes may be made via
one of the forms of payment for exercise
set forth above, or as otherwise determined
by the Administrator.
	 
	 	 
	Transfer of Option

	 	Only you may exercise this option. You
cannot transfer or assign this option. If
you attempt to transfer this option, it
will immediately become invalid. You may,
however, transfer this option pursuant to a
marital property settlement agreement,
dispose of this option in your will or
transfer this option upon your death by the
laws of descent and distribution.
	 
	 	 
	Retention Rights

	 	Neither your option nor this Agreement give
you the right to be

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	 	retained by the Company
or any Affiliate in any capacity and your
Service may be terminated at any time and
for any reason.
	 
	 	 
	Shareholder Rights

	 	You have no rights as a shareholder of the
Company unless and until the Stock relating
to your exercise has been issued (or an
appropriate book entry has been made).
Except as described in the Plan, no
adjustments are made for dividends or other
rights if the applicable record date occurs
before your Stock is issued (or an
appropriate book entry has been made).
	 
	 	 
	Applicable Law

	 	Any suit, action or other legal proceeding
that is commenced to resolve any matter
arising under or relating to this Agreement
or the Plan shall be commenced only in a
court in the State of Delaware and the
parties to this Agreement consent to the
jurisdiction of such court. You agree to
waive your rights to a jury trial for any
claim or cause of action based upon or
arising out of this Agreement or the Plan.
	 
	 	 
	Data Privacy

	 	In order to administer the Plan, the
Company may process personal data about
you. Such data includes the information
provided in this Agreement, other
appropriate personal and financial data
about you such as home address and business
addresses and other contact information,
payroll information and any other
information deemed appropriate by the
Company to facilitate the administration of
the Plan.
	 
	 	 
	 

	 	By accepting this option, you consent to
the Company’s processing of such personal
data and the transfer of such data outside
the country in which you work or are
employed, including, with respect to
non-U.S. residents, to the United States,
to transferees who shall include the
Company and other persons designated by the
Company to administer the Plan.
	 
	 	 
	Consent to Electronic Delivery

	 	Certain statutory materials relating to the
Plan have been delivered to you in
electronic form. By accepting this grant,
you consent to electronic delivery and
acknowledge receipt of these materials,
including the Plan and Plan prospectus.
	 
	 	 
	Non-U.S. Residents

	 	If you are a non-U.S. resident, additional
terms and conditions with respect to your
award may apply as set forth on the Stock
Administration page of the MyCiena
intranet.
	 
	 	 
	Non-Qualified Stock Option

	 	This option is not intended to be an
incentive stock option under Section 422 of
the Internal Revenue Code and will be
interpreted accordingly.

This Agreement is not a stock certificate or a negotiable instrument.

4

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