Filing Details

Accession Number:
0001181431-12-060384
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-11-23 18:37:10
Reporting Period:
2012-11-20
Filing Date:
2012-11-23
Filing Date Changed:
2012-11-23
Accepted Time:
2012-11-23 18:37:10
Original Submission Date:
Issuer
Cik Name Symbol Sector (SIC) IRS No
1138639 Infinera Corp INFN Telephone & Telegraph Apparatus (3661) 770560433
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1399121 J Thomas Fallon C/o Infinera Corporation
140 Caspian Court
Sunnyvale CA 94089
President And Ceo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings
Common Stock Acquisiton 2012-11-20 40,283 $4.44 514,638
Common Stock Acquisiton 2012-11-21 9,717 $4.60 524,355
Common Stock Acquisiton 2012-11-21 100,000 $2.00 624,355
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
No 4 M Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-11-21 50,000 $0.00 50,000 $2.00
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-11-21 50,000 $0.00 50,000 $2.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-08-08 No 4 M Direct
0 2016-08-08 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 100,672 Indirect See Footnote
Common Stock 100,672 Indirect See Footnote
Common Stock 20,570 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date
Common Stock Employee Stock Option (Right to Buy) $8.19
Common Stock Employee Stock Option (Right to Buy) $7.11
Common Stock Employee Stock Option (Right to Buy) $7.45
Common Stock Employee Stock Option (Right to Buy) $8.19
Common Stock Employee Stock Option (Right to Buy) $8.19
Common Stock Employee Stock Option (Right to Buy) $7.61
Common Stock Employee Stock Option (Right to Buy) $7.61
Common Stock Employee Stock Option (Right to Buy) $7.61
Common Stock Employee Stock Option (Right to Buy) $7.61
Common Stock Employee Stock Option (Right to Buy) $8.58
Common Stock Employee Stock Option (Right to Buy) $8.58
Common Stock Restricted Stock Units $0.00
Common Stock Restricted Stock Units $0.00
Common Stock Employee Stock Option (Right to Buy) $8.58
Common Stock Employee Stock Option (Right to Buy) $8.58
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-11-23 75,000 75,000 Direct
2019-02-10 100,000 100,000 Direct
2019-08-10 150,000 150,000 Direct
2019-11-23 5,595 5,595 Direct
2019-11-23 294,405 294,405 Direct
2017-06-06 29,214 29,214 Direct
2017-06-06 101,342 101,342 Direct
2018-02-28 2,817 2,817 Direct
2018-02-28 81,683 81,683 Direct
2021-02-10 41,279 41,279 Direct
2021-02-10 201,721 201,721 Direct
94,666 94,666 Direct
155,000 155,000 Direct
2021-02-10 60,750 60,750 Direct
2021-02-10 182,250 182,250 Direct
Footnotes
  1. Shares held directly by the Fallon Family Revocable Trust dated 9/7/94 for which the Reporting Person serves as trustee.
  2. Shares held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 for which the Reporting Person serves as trustee.
  3. Shares held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 for which the Reporting Person serves as trustee.
  4. Shares held directly by the Reporting Person as a trustee for his minor children. The Reporting Person disclaims beneficial ownership of the shares held in trusts for his minor children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trusts for his minor children for purposes of Section 16 or for any other purpose.
  5. The option is fully vested.
  6. The option vests and becomes exercisable in forty-eight monthly installments beginning on November 23, 2009.
  7. The option vests and becomes exercisable in thirty-six monthly installments beginning on February 5, 2010.
  8. The option vests and becomes exercisable in forty-eight monthly installments beginning on February 5, 2010.
  9. The option vests and becomes exercisable in thirty-six monthly installments beginning on February 10, 2011.
  10. Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
  11. The RSUs vest in three annual installments beginning on February 5, 2012.
  12. The RSUs vest in three annual installments beginning on February 5, 2013.
  13. This price represents the weighted average purchase price of the shares ranging from $4.436 to $4.46 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.
  14. This price represents the weighted average purchase price of the shares ranging from $4.5976 to $4.60 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.
Insider Monkey Small Cap Strategy
Insider Monkey Small Cap Strategy

Insider Monkey beat the market by 44 percentage points in 21 months Learn how!

Billionaire Hedge Funds
X

Thanks! An email with instructions is sent to !

Your email already exists in our database. Click here to go to your subscriptions

Insider Monkey returned 47.6% in its first year! Wondering How?

Download a complete edition of our newsletter for free!