Filing Details

Accession Number:
0001181431-14-032480
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-22 16:59:25
Reporting Period:
2014-09-18
Filing Date:
2014-09-22
Accepted Time:
2014-09-22 16:59:25
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 Acquisiton 2014-09-18 100,000 $7.11 100,000 No 4 M Direct
Common Stock Acquisiton 2014-09-18 50,000 $7.45 150,000 No 4 M Direct
Common Stock Disposition 2014-09-18 150,000 $11.43 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
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 2014-09-18 100,000 $0.00 100,000 $7.11
Common Stock Employee Stock Option (Right to Buy) Disposition 2014-09-18 50,000 $0.00 150,000 $7.45
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-02-10 No 4 M Direct
100,000 2019-08-10 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,905 Indirect See Footnote
Common Stock 5,903 Indirect See Footnote
Common Stock 5,903 Indirect See Footnote
Common Stock 5,903 Indirect See Footnote
Common Stock 830,719 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) $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
2019-11-23 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. These shares are held directly by The Nolan M. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
  2. These shares are held directly by The Riley T. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
  3. These shares are held directly by The Georgia M. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
  4. These shares are held directly by The Audrey N. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
  5. These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee.
  6. This option is fully-vested.
  7. Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company").
  8. These RSUs vest in three annual installments beginning on February 5, 2013.
  9. These RSUs vest in three annual installments beginning on February 5, 2014.
  10. These RSUs vest in three annual installments beginning on May 5, 2015.
  11. This sale was made in connection with Mr. Fallon's Rule 10b5-1 Trading Plan, which was adopted on May 15, 2014.
  12. This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $11.42 to $11.60 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Mr. Fallon will provide full information regarding the number of shares sold at each separate price.