Filing Details
- Accession Number:
- 0001181431-13-055981
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-31 17:59:52
- Reporting Period:
- 2013-10-29
- Filing Date:
- 2013-10-31
- Accepted Time:
- 2013-10-31 17:59:52
- 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 |
|---|---|---|---|---|---|---|---|
| 1188110 | J Philip Koen | C/O Infinera Corporation 140 Caspian Court Sunnyvale CA 94089 | Yes | No | 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 | 2013-10-29 | 12,500 | $6.82 | 13,083 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-29 | 12,500 | $10.50 | 583 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Non-Qualified Stock Option (Right to Buy) | Disposition | 2013-10-29 | 12,500 | $0.00 | 100,000 | $6.82 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 87,500 | 2020-02-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 35,234 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $7.55 | 2020-05-19 | 14,500 | 14,500 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $7.25 | 2021-05-18 | 17,600 | 17,600 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 13,333 | 13,333 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-05-19 | 14,500 | 14,500 | Direct |
| 2021-05-18 | 17,600 | 17,600 | Direct |
| 13,333 | 13,333 | Direct |
Footnotes
- Shares held by the Koen Family Trust dtd 11/3/10 for which the Reporting Person serves as trustee.
- The option is fully vested.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
- The RSUs fully vest on May 15, 2014.
- This sale was made in connection with the Reporting Person's Rule 10b5-1 Trading Plan, which was adopted on August 26, 2013.
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