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+ -----BEGIN PRIVACY-ENHANCED MESSAGE-----
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+ Proc-Type: 2001,MIC-CLEAR
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+ Originator-Name: webmaster@www.sec.gov
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+ Originator-Key-Asymmetric:
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+ <SEC-DOCUMENT>0000950133-01-000145.txt : 20010123
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+ <SEC-HEADER>0000950133-01-000145.hdr.sgml : 20010123
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+ ACCESSION NUMBER: 0000950133-01-000145
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+ CONFORMED SUBMISSION TYPE: 10-K/A
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+ PUBLIC DOCUMENT COUNT: 2
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+ CONFORMED PERIOD OF REPORT: 20001031
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+ FILED AS OF DATE: 20010118
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+
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+ FILER:
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+
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+ COMPANY DATA:
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+ COMPANY CONFORMED NAME: CIENA CORP
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+ CENTRAL INDEX KEY: 0000936395
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+ STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661]
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+ IRS NUMBER: 232725311
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+ STATE OF INCORPORATION: DE
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+ FISCAL YEAR END: 1031
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+
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+ FILING VALUES:
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+ FORM TYPE: 10-K/A
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+ SEC ACT:
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+ SEC FILE NUMBER: 000-21969
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+ FILM NUMBER: 1511207
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+
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+ BUSINESS ADDRESS:
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+ STREET 1: 1201 WINTERSON ROAD
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+ CITY: LINTHICUM
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+ STATE: MD
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+ ZIP: 21090
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+ BUSINESS PHONE: 4108658500
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+
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+ MAIL ADDRESS:
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+ STREET 1: 1201 WINTERSON ROAD
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+ CITY: LINTHICUM
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+ STATE: MD
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+ ZIP: 21090
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+ </SEC-HEADER>
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+ <DOCUMENT>
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+ <TYPE>10-K/A
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+ <SEQUENCE>1
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+ <FILENAME>w44449e10-ka.txt
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+ <DESCRIPTION>10-K/A
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+ <TEXT>
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+
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+ <PAGE> 1
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+ ================================================================================
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+
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+ SECURITIES AND EXCHANGE COMMISSION
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+ WASHINGTON, D.C. 20549
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+
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+ ---------------
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+
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+ FORM 10-K/A
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+
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+
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+ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d)
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+ OF THE SECURITIES EXCHANGE ACT OF 1934
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+
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+ FOR THE FISCAL YEAR ENDED OCTOBER 31, 2000
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+ COMMISSION FILE NUMBER: 0-21969
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+
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+ ---------------
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+
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+ CIENA CORPORATION
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+ (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
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+
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+
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+ DELAWARE 23-2725311
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+ (STATE OR OTHER JURISDICTION OF (IRS EMPLOYER
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+ INCORPORATION OR ORGANIZATION) IDENTIFICATION
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+ NO.)
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+
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+ 1201 WINTERSON ROAD
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+ LINTHICUM, MARYLAND 21090
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+ (410) 865-8500
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+ (ADDRESS AND TELEPHONE NUMBER OF PRINCIPAL EXECUTIVE OFFICES)
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+
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+
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+ SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:
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+ NONE
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+
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+
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+ SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT:
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+ COMMON STOCK, $.01 PAR VALUE
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+ TITLE OF CLASS
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+
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+
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+ <PAGE> 2
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+ EXPLANATORY NOTE
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+
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+ This 10-K/A is being filed because an opinion on the Financial Statement
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+ Schedule was inadvertently omitted from the Company's Form 10-K for the year
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+ ended October 31, 2000, filed on December 7, 2000.
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+
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+ ITEM 14. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K
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+
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+ (a) The following documents are filed as a part of this Form:
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+
109
+ 1. Financial Statement Schedules:
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+
111
+ VALUATION AND QUALIFYING ACCOUNTS
112
+ (In thousands)
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+ <TABLE>
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+ <CAPTION>
115
+ Balance at
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+ beginning of Balance at end
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+ period Provisions Deductions of period
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+ ------------ ---------- ------------- ---------------
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+ <S> <C> <C> <C> <C>
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+ Year ended October 31, 1998
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+ Allowance for doubtful accounts $ 722 $ 806 $ -- $ 1,528
122
+ Allowance for excess and obsolete inventory $ 7,466 $ 9,617 $5,929 $11,154
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+
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+ Year ended October 31, 1999
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+ Allowance for doubtful accounts $ 1,528 $ 250 $ 75 $ 1,703
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+ Allowance for excess and obsolete inventory $11,154 $ 6,534 $5,243 $12,445
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+
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+ Year ended October 31, 2000
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+ Allowance for doubtful accounts $ 1,703 $28,010 $ 132 $29,581
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+ Allowance for excess and obsolete inventory $12,445 $15,021 $9,228 $18,238
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+
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+ </TABLE>
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+
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+ REPORT OF INDEPENDENT ACCOUNTANTS ON
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+ FINANCIAL STATEMENT SCHEDULE
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+
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+ To the Board of Directors
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+ and Stockholders of CIENA Corporation:
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+
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+ Our audits of the consolidated financial statements referred to in our report
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+ dated December 6, 2000, appearing in the Annual Report on Form 10-K for the
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+ year ended October 31, 2000 of CIENA Corporation also included an audit of the
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+ financial statement schedule listed in Item 14(a)(2) of this Form 10-K. In our
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+ opinion, this financial statement schedule presents fairly, in all material
145
+ respects, the information set forth therein when read in conjunction with the
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+ related consolidated financial statements.
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+
148
+
149
+
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+ PricewaterhouseCoopers LLP
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+ McLean, VA
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+ December 6, 2000
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+
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+ 2. Exhibits: See Index to Exhibits on page 4 of this
155
+ Amendment. The Exhibits listed in the accompanying Index to Exhibits are
156
+ filed or incorporated by reference as part of this report.
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+
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+ (b) Reports on Form 8-K
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+
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+ No amendment is being made to this item.
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+
162
+
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+ <PAGE> 3
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+
165
+
166
+
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+ SIGNATURES
168
+
169
+ Pursuant to the requirements of the Securities Exchange Act of 1934, the
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+ Registrant has duly caused this report to be signed on its behalf by the
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+ undersigned thereunto duly authorized.
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+
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+
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+ CIENA CORPORATION
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+
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+
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+ Date: January 18, 2001 By: /s/ Andrew C. Petrik
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+ --------------------
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+ Andrew C. Petrik
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+ Vice President, Controller and
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+ Treasurer
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+
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+
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+
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+ <PAGE> 4
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+
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+
188
+
189
+
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+ INDEX TO EXHIBITS
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+ <TABLE>
192
+ <CAPTION>
193
+ Exhibit
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+ Number Description
195
+ ------ -----------
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+ <S> <C>
197
+ 3.1 (1) Certificate of Amendment to Third Restated Certificate of Incorporation
198
+
199
+ 3.2 (1) Third Restated Certificate of Incorporation
200
+
201
+ 3.3 (1) Amended and Restated Bylaws
202
+
203
+ 3.5 (10) Certificate of Amendment to Third Restated Certificate of Incorporation
204
+ dated March 23, 1998
205
+
206
+ 3.6 (10) Certificate of Amendment to Third Restated Certificate of Incorporation
207
+ dated March 16, 2000
208
+
209
+ 4.1 (1) Specimen Stock Certificate
210
+
211
+ 4.2 (3) Rights Agreement dated December 29, 1997
212
+
213
+ 4.3 (4) Amendment to Rights Agreement
214
+
215
+ 4.4 (11) Amendment No. 2 to Rights Agreement dated September 13, 1998
216
+
217
+ 4.5 (4) Amendment No. 3 to Rights Agreement dated October 19, 1998
218
+
219
+ 10.1 (1) Form of Indemnification Agreement for Directors and Officers
220
+
221
+ 10.2 (1) Amended and Restated 1994 Stock Option Plan
222
+
223
+ 10.3 (1) Form of Employee Stock Option Agreements
224
+
225
+ 10.4 (1) 1996 Outside Directors Stock Option Plan
226
+
227
+ 10.5 (1) Forms of 1996 Outside Directors Stock Option Agreement
228
+
229
+ 10.6 (1) Series C Preferred Stock Purchase Agreement dated December 20, 1995
230
+
231
+ 10.7 (1) Lease Agreement dated October 5, 1995 between the Company and CS Corridor-32
232
+ Limited Partnership
233
+
234
+ 10.8 (1)(8) Purchase Agreement Between Sprint/United Management Company and the Company
235
+ dated December 14, 1995
236
+
237
+ 10.9 (1)(8) Basic Purchase Agreement between WorldCom Network Services, Inc. and the
238
+ Company dated September 19, 1996
239
+
240
+ 10.10 (1) Settlement Agreement and Mutual Release, between the Company and William
241
+ K. Woodruff & Company, dated August 26, 1996
242
+
243
+ 10.13 (1) Employment Agreement dated April 9, 1994 between the Company and Patrick
244
+ Nettles
245
+
246
+ 10.14 (1) Lease Agreement dated November 1, 1996 by and between the
247
+ Company and Aetna Life Insurance Company
248
+
249
+ 10.15 (1) Revolving Note and Business Loan Agreement dated November 25, 1996
250
+ between the Company and Mercantile-Safe Deposit & Trust Company
251
+
252
+ 10.16 (1)(8) First Addendum to Procurement Agreement between the Registrant and
253
+ Sprint/United Management Company dated December 19, 1996
254
+
255
+ 10.17 (5) Third Addendum to Procurement Agreement between the Registrant and
256
+ Sprint/United Management Company
257
+
258
+ 10.18 (5) Form of Transfer of Control/Severance Agreement
259
+
260
+ 10.19 (6) Lightera 1998 Stock Option Plan and Form of Stock Option Agreement
261
+ </TABLE>
262
+
263
+
264
+ <PAGE> 5
265
+
266
+
267
+ <TABLE>
268
+ <S> <C>
269
+
270
+ 10.18 (5) Form of Transfer of Control/Severance Agreement
271
+ 10.19 (6) Lightera 1998 Stock Option Plan and Form of Stock Option Agreement
272
+ 10.20 (7) Omnia Communications, Inc. 1997 stock plan and form of agreements
273
+
274
+ 10.21 (9) Employment Agreement dated August 18, 1999 between the Company and Gary B.
275
+ Smith
276
+
277
+ 10.22 (9) 1999 Non-Officer Stock Option Plan and Form of Stock Option
278
+ Agreement
279
+
280
+ 10.23 (9) Lease Agreement dated June 1, 1999 between the Company and
281
+ Ridgeview Court Associates, L.L.C.
282
+
283
+ 21 (2) Subsidiaries of registrant
284
+
285
+ 23.1 Consent of Independent Accountants (filed herewith)
286
+
287
+ 27.1 (12) Financial Data Schedule
288
+ </TABLE>
289
+
290
+
291
+ <TABLE>
292
+ <S> <C>
293
+ (1) Incorporated by reference from the Company's Registration Statement on Form S-1 (333-17729).
294
+
295
+ (2) Incorporated by reference from the Company's Registration Statement on Form S-1 (333-28525).
296
+
297
+ (3) Incorporated by reference from the Company's Form 8-K dated December 29, 1997.
298
+
299
+ (4) Incorporated by reference from the Company's Form 8-K dated October 14, 1998.
300
+
301
+ (5) Incorporated by reference from the Company's Form 10-K dated December 10, 1998.
302
+
303
+ (6) Incorporated by reference from the Company's Form 10-Q dated May 21, 1999.
304
+
305
+ (7) Incorporated by reference from the Company's Form 10-Q dated August 19, 1999.
306
+
307
+ (8) Confidential treatment has been granted by the Securities and Exchange Commission with respect
308
+ to certain portions
309
+ of these exhibits.
310
+
311
+ (9) Incorporated by reference from the Company's Form 10-K dated December 10, 1999.
312
+
313
+ (10) Incorporated by reference from the Company's Form 10-Q dated May 18, 2000.
314
+
315
+ (11) Incorporated by reference from the Company's Form 8-K dated September 14, 1998.
316
+
317
+ (12) Incorporated by reference from the Company's Form 10-K dated December 7, 2000.
318
+ </TABLE>
319
+
320
+
321
+ </TEXT>
322
+ </DOCUMENT>
323
+ <DOCUMENT>
324
+ <TYPE>EX-23.1
325
+ <SEQUENCE>2
326
+ <FILENAME>w44449ex23-1.txt
327
+ <DESCRIPTION>CONSENT OF INDEPENDENT ACCOUNTANTS
328
+ <TEXT>
329
+
330
+ <PAGE> 1
331
+
332
+ EXHIBIT 23.1
333
+
334
+ CONSENT OF INDEPENDENT ACCOUNTANTS
335
+
336
+
337
+ We hereby consent to the incorporation by reference in the Registration
338
+ Statements on Form S-8 (No. 333-27131, 333-52467, 333-76915, 333-83581,
339
+ 333-30900), S-3 (No. 333-81133, 333-80375) and S-4 (No.333-53146) of CIENA
340
+ Corporation of our reports dated December 6, 2000 relating to the financial
341
+ statements and financial statement schedule, which appear in CIENA's Annual
342
+ Report on Form 10-K for the year ended October 31, 2000, as amended.
343
+
344
+
345
+ PricewaterhouseCoopers LLP
346
+ McLean, VA
347
+ January 17, 2001
348
+
349
+
350
+
351
+
352
+
353
+ </TEXT>
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+ </DOCUMENT>
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+ </SEC-DOCUMENT>
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+ -----END PRIVACY-ENHANCED MESSAGE-----