Filing Details

Accession Number:
0001181431-14-017369
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-30 19:17:01
Reporting Period:
2014-04-28
Filing Date:
2014-04-30
Accepted Time:
2014-04-30 19:17:01
SEC Url:
Form 4 Filing
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
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2014-04-28 50,000 $8.82 880,719 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 43,614 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Option (Right to Buy) $8.19 2016-11-23 75,000 75,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.61 2017-06-06 29,214 29,214 Direct
Common Stock Employee Stock Option (Right to Buy) $7.61 2017-06-06 101,342 101,342 Direct
Common Stock Employee Stock Option (Right to Buy) $7.11 2019-02-10 100,000 100,000 Direct
Common Stock Employee Stock Option (Right to Buy) $7.45 2019-08-10 150,000 150,000 Direct
Common Stock Employee Stock Option (Right to Buy) $8.19 2019-11-23 5,595 5,595 Direct
Common Stock Employee Stock Option (Right to Buy) $8.19 2019-11-23 294,405 294,405 Direct
Common Stock Employee Stock Option (Right to Buy) $7.61 2018-02-28 2,817 2,817 Direct
Common Stock Employee Stock Option (Right to Buy) $7.61 2018-02-28 81,683 81,683 Direct
Common Stock Employee Stock Option (Right to Buy) $8.58 2021-02-10 14,286 14,286 Direct
Common Stock Employee Stock Option (Right to Buy) $8.58 2021-02-10 32,965 32,965 Direct
Common Stock Employee Stock Option (Right to Buy) $8.58 2021-02-10 30,475 30,475 Direct
Common Stock Employee Stock Option (Right to Buy) $8.58 2021-02-10 182,250 182,250 Direct
Common Stock Restricted Stock Units $0.00 51,666 51,666 Direct
Common Stock Restricted Stock Units $0.00 75,333 75,333 Direct
Common Stock Restricted Stock Units $0.00 106,888 106,888 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-11-23 75,000 75,000 Direct
2017-06-06 29,214 29,214 Direct
2017-06-06 101,342 101,342 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
2018-02-28 2,817 2,817 Direct
2018-02-28 81,683 81,683 Direct
2021-02-10 14,286 14,286 Direct
2021-02-10 32,965 32,965 Direct
2021-02-10 30,475 30,475 Direct
2021-02-10 182,250 182,250 Direct
51,666 51,666 Direct
75,333 75,333 Direct
106,888 106,888 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 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.
  3. The option is fully vested.
  4. Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
  5. The RSUs vest in three annual installments beginning on February 5, 2013.
  6. The RSUs vest in three annual installments beginning on February 5, 2014.
  7. The RSUs vest in three annual installments beginning on May 5, 2015.
  8. This sale was made in connection with the Reporting Person's Rule 10b5-1 Trading Plan, which was adopted on May 29, 2013.
  9. This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $8.69 to $8.98 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation or a security holder of Infinera Corporation, the reporting person will provide full information regarding the number of shares sold at each separate price.