401k Plan data: OCLARO, INC 401(K) RETIREMENT PLAN plan

OCLARO, INC 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	OCLARO, INC 401(K) RETIREMENT PLAN
Plan identification number	001

OCLARO, INC 401(K) RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

OCLARO, INC. has sponsored the creation of one or more 401k plans.

Company Name: OCLARO, INC.

Employer identification number (EIN): 201303994

NAIC Classification: 334410

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OCLARO, INC 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 MIKE FERNICOLA
001 2016-01-01 MIKE FERNICOLA
001 2015-01-01 MIKE FERNICOLA

Plan Statistics for OCLARO, INC 401(K) RETIREMENT PLAN

401k plan membership statisitcs for OCLARO, INC 401(K) RETIREMENT PLAN

Measure Date Value
2019: OCLARO, INC 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 375
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: OCLARO, INC 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 444
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 373
Total of all active and inactive participants 2018-01-01 373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 2
Total participants 2018-01-01 375
Number of participants with account balances 2018-01-01 373
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: OCLARO, INC 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 450
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 97
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 345
Total of all active and inactive participants 2017-01-01 442
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 2
Total participants 2017-01-01 444
Number of participants with account balances 2017-01-01 433
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: OCLARO, INC 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 470
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 85
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 364
Total of all active and inactive participants 2016-01-01 449
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 450
Number of participants with account balances 2016-01-01 439
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: OCLARO, INC 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 534
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 82
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 387
Total of all active and inactive participants 2015-01-01 469
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 470
Number of participants with account balances 2015-01-01 462
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1

Measure	Date	Value
2019: OCLARO, INC 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	375
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: OCLARO, INC 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	444
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	373
Total of all active and inactive participants	2018-01-01	373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	2
Total participants	2018-01-01	375
Number of participants with account balances	2018-01-01	373
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: OCLARO, INC 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	450
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	97
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	345
Total of all active and inactive participants	2017-01-01	442
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	2
Total participants	2017-01-01	444
Number of participants with account balances	2017-01-01	433
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: OCLARO, INC 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	470
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	85
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	364
Total of all active and inactive participants	2016-01-01	449
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	450
Number of participants with account balances	2016-01-01	439
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: OCLARO, INC 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	534
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	82
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	387
Total of all active and inactive participants	2015-01-01	469
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	470
Number of participants with account balances	2015-01-01	462
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1

Financial Data on OCLARO, INC 401(K) RETIREMENT PLAN

Measure	Date	Value
2019 : OCLARO, INC 401(K) RETIREMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$3,027,318
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$35,329,869
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$35,289,561
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$0
Value of total assets at end of year	2019-12-31	$0
Value of total assets at beginning of year	2019-12-31	$32,302,551
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$40,308
Total interest from all sources	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$18,637
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$18,637
Administrative expenses professional fees incurred	2019-12-31	$24,150
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$58,132
Administrative expenses (other) incurred	2019-12-31	$4,234
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$-32,302,551
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$32,302,551
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$11,924
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$22,419,222
Value of interest in common/collective trusts at end of year	2019-12-31	$0
Value of interest in common/collective trusts at beginning of year	2019-12-31	$9,767,510
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$2,467,983
Net investment gain or loss from common/collective trusts	2019-12-31	$540,698
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$57,687
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$35,289,561
Did the plan have assets held for investment	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2019-12-31	953288054
2018 : OCLARO, INC 401(K) RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$394,385
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$11,359,725
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$11,298,866
Value of total corrective distributions	2018-12-31	$648
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,203,289
Value of total assets at end of year	2018-12-31	$32,302,551
Value of total assets at beginning of year	2018-12-31	$43,267,891
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$60,211
Total interest from all sources	2018-12-31	$4,045
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$1,310,825
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$1,310,825
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,531,727
Participant contributions at end of year	2018-12-31	$58,132
Participant contributions at beginning of year	2018-12-31	$103,038
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$57,377
Administrative expenses (other) incurred	2018-12-31	$211
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-10,965,340
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$32,302,551
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$43,267,891
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$60,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$22,419,222
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$31,225,480
Interest on participant loans	2018-12-31	$4,045
Value of interest in common/collective trusts at end of year	2018-12-31	$9,767,510
Value of interest in common/collective trusts at beginning of year	2018-12-31	$11,846,230
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-2,800,310
Net investment gain or loss from common/collective trusts	2018-12-31	$-323,464
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$614,185
Employer contributions (assets) at end of year	2018-12-31	$57,687
Employer contributions (assets) at beginning of year	2018-12-31	$93,143
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$11,298,866
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2018-12-31	953288054
2017 : OCLARO, INC 401(K) RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$8,237,328
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,258,132
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,216,882
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,254,839
Value of total assets at end of year	2017-12-31	$43,267,891
Value of total assets at beginning of year	2017-12-31	$37,288,695
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$41,250
Total interest from all sources	2017-12-31	$2,613
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,143,498
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,143,498
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,488,387
Participant contributions at end of year	2017-12-31	$103,038
Participant contributions at beginning of year	2017-12-31	$73,961
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$191,694
Administrative expenses (other) incurred	2017-12-31	$5,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$5,979,196
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$43,267,891
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$37,288,695
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$36,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$31,225,480
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$26,677,935
Interest on participant loans	2017-12-31	$2,613
Value of interest in common/collective trusts at end of year	2017-12-31	$11,846,230
Value of interest in common/collective trusts at beginning of year	2017-12-31	$10,527,402
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$3,788,922
Net investment gain or loss from common/collective trusts	2017-12-31	$1,047,456
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$574,758
Employer contributions (assets) at end of year	2017-12-31	$93,143
Employer contributions (assets) at beginning of year	2017-12-31	$9,397
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,216,882
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2017-12-31	953288054
2016 : OCLARO, INC 401(K) RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$4,432,256
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$4,196,971
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$4,169,585
Value of total corrective distributions	2016-12-31	$2,996
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,824,864
Value of total assets at end of year	2016-12-31	$37,288,695
Value of total assets at beginning of year	2016-12-31	$37,053,410
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$24,390
Total interest from all sources	2016-12-31	$4,018
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$699,308
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$699,308
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,334,313
Participant contributions at end of year	2016-12-31	$73,961
Participant contributions at beginning of year	2016-12-31	$113,933
Administrative expenses (other) incurred	2016-12-31	$390
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$235,285
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$37,288,695
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$37,053,410
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$24,000
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$26,677,935
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$26,177,621
Interest on participant loans	2016-12-31	$4,018
Value of interest in common/collective trusts at end of year	2016-12-31	$10,527,402
Value of interest in common/collective trusts at beginning of year	2016-12-31	$10,699,866
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,433,704
Net investment gain or loss from common/collective trusts	2016-12-31	$470,362
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$490,551
Employer contributions (assets) at end of year	2016-12-31	$9,397
Employer contributions (assets) at beginning of year	2016-12-31	$61,990
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$4,169,585
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2016-12-31	953288054
2015 : OCLARO, INC 401(K) RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,041,584
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$6,643,949
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$6,623,179
Value of total corrective distributions	2015-12-31	$244
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,025,843
Value of total assets at end of year	2015-12-31	$37,053,410
Value of total assets at beginning of year	2015-12-31	$41,655,775
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$20,526
Total interest from all sources	2015-12-31	$5,657
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,511,344
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,511,344
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,256,988
Participant contributions at end of year	2015-12-31	$113,933
Participant contributions at beginning of year	2015-12-31	$137,285
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$296,658
Administrative expenses (other) incurred	2015-12-31	$1,653
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-4,602,365
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$37,053,410
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$41,655,775
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$18,873
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$26,177,621
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$30,556,802
Interest on participant loans	2015-12-31	$5,657
Value of interest in common/collective trusts at end of year	2015-12-31	$10,699,866
Value of interest in common/collective trusts at beginning of year	2015-12-31	$10,896,455
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,519,213
Net investment gain or loss from common/collective trusts	2015-12-31	$17,953
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$472,197
Employer contributions (assets) at end of year	2015-12-31	$61,990
Employer contributions (assets) at beginning of year	2015-12-31	$65,233
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$6,623,179
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WRIGHT FORD YOUNG & CO
Accountancy firm EIN	2015-12-31	953288054

Form 5500 Responses for OCLARO, INC 401(K) RETIREMENT PLAN

2019: OCLARO, INC 401(K) RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: OCLARO, INC 401(K) RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: OCLARO, INC 401(K) RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: OCLARO, INC 401(K) RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: OCLARO, INC 401(K) RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	OCLARO, INC.
Employer identification number (EIN):	201303994
NAIC Classification:	334410