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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

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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

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Sec. Name	Sec. Type	Price	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

Shares held directly by the Fallon Family Revocable Trust dated 9/7/94 for which the Reporting Person serves as trustee.
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.
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.
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.
The option is fully vested.
The option vests and becomes exercisable in forty-eight monthly installments beginning on November 23, 2009.
The option vests and becomes exercisable in forty-eight monthly installments beginning on February 5, 2010.
The option vests and becomes exercisable in thirty-six monthly installments beginning on February 10, 2011.
Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
The RSUs vest in three annual installments beginning on February 5, 2012.
The RSUs vest in three annual installments beginning on February 5, 2013.
The RSUs vest in three annual installments beginning on February 5, 2014.
This sale was made in connection with the Reporting Person's Rule 10b5-1 Trading Plan, which was adopted on May 29, 2013.
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.
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.
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.
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.
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.