Filing Details

Accession Number:
0001181431-13-046347
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-08-23 16:30:14
Reporting Period:
2013-08-22
Filing Date:
2013-08-23
Accepted Time:
2013-08-23 16:30:14
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
Ceo No 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 2013-08-22 50,000 $9.95 907,546 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 0 Indirect See Footnote
Common Stock 0 Indirect See Footnote
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 41,279 41,279 Direct
Common Stock Employee Stock Option (Right to Buy) $8.58 2021-02-10 201,721 201,721 Direct
Common Stock Employee Stock Option (Right to Buy) $8.58 2021-02-10 60,750 60,750 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 47,333 47,333 Direct
Common Stock Restricted Stock Units $0.00 103,333 103,333 Direct
Common Stock Restricted Stock Units $0.00 113,000 113,000 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 41,279 41,279 Direct
2021-02-10 201,721 201,721 Direct
2021-02-10 60,750 60,750 Direct
2021-02-10 182,250 182,250 Direct
47,333 47,333 Direct
103,333 103,333 Direct
113,000 113,000 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 forty-eight monthly installments beginning on February 5, 2010.
  8. The option vests and becomes exercisable in thirty-six monthly installments beginning on February 10, 2011.
  9. Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
  10. The RSUs vest in three annual installments beginning on February 5, 2012.
  11. The RSUs vest in three annual installments beginning on February 5, 2013.
  12. The RSUs vest in three annual installments beginning on February 5, 2014.
  13. This sale was made in connection with the Reporting Person's Rule 10b5-1 Trading Plan, which was adopted on May 29, 2013.
  14. This price represents the weighted average sale price of the shares sold ranging from $9.86 to $10.15 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 sold at each separate price.
  15. Includes 89,150 shares previously held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 and 89,150 shares previously held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 1, 2013 and are now held directly by the Fallon Family Trust.
  16. Excludes 89,150 shares previously held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 1, 2013 and are now held directly by the Fallon Family Trust. Also excludes 11,522 shares previously held by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 1, 2013 and are now held by the trusts of the Reporting Person's minor children.
  17. Excludes 89,150 shares previously held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 1, 2013 and are now held directly by the Fallon Family Trust. Also excludes 11,522 shares previously held by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 1, 2013 and are now held by the trusts of the Reporting Person's minor children.
  18. Includes 11,522 shares previously held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 and 11,522 shares previously held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 1, 2013 and are now held directly by the trusts of the Reporting Person's minor children.