Filing Details

Accession Number:
0001209191-15-078443
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-04 16:39:16
Reporting Period:
2015-11-02
Filing Date:
2015-11-04
Accepted Time:
2015-11-04 16:39:16
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 2015-11-02 75,000 $8.19 75,000 No 4 M Direct
Common Stock Acquisiton 2015-11-02 5,595 $8.19 80,595 No 4 M Direct
Common Stock Acquisiton 2015-11-02 69,405 $8.19 150,000 No 4 M Direct
Common Stock Disposition 2015-11-02 150,000 $19.85 0 No 4 S Direct
Common Stock Disposition 2015-11-02 50,000 $19.85 769,456 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S 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 2015-11-02 75,000 $0.00 75,000 $8.19
Common Stock Employee Stock Option (Right to Buy) Disposition 2015-11-02 5,595 $0.00 5,595 $8.19
Common Stock Employee Stock Option (Right to Buy) Disposition 2015-11-02 69,405 $0.00 159,461 $8.19
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-11-23 No 4 M Direct
0 2019-11-23 No 4 M Direct
90,056 2019-11-23 No 4 M Direct
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) $8.58 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 37,666 37,666 Direct
Common Stock Restricted Stock Units $0.00 71,258 71,258 Direct
Common Stock Restricted Stock Units $0.00 55,240 55,240 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
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
37,666 37,666 Direct
71,258 71,258 Direct
55,240 55,240 Direct
Footnotes
  1. This sale was made in connection with Mr. Fallon's Rule 10b5-1 Trading Plan, which was adopted on May 29, 2015.
  2. This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $19.49 to $20.08 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (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.
  3. These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee.
  4. This option is fully-vested.
  5. Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Company.
  6. These RSUs vest in three annual installments beginning on February 5, 2014.
  7. These RSUs vest in three annual installments beginning on May 5, 2015.
  8. These RSUs vest in three annual installments beginning on May 5, 2016.