Filing Details
- Accession Number:
- 0001578225-14-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-11 18:29:46
- Reporting Period:
- 2014-02-07
- Filing Date:
- 2014-02-11
- Accepted Time:
- 2014-02-11 18:29:46
- 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 |
|---|---|---|---|---|---|---|---|
| 1494211 | M Ita Brennan | C/O Infinera Corporation 140 Caspian Court Sunnyvale CA 94089 | Chief Financial Officer | 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 | Acquisiton | 2014-02-07 | 2,344 | $2.00 | 160,364 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-02-07 | 50,000 | $6.71 | 210,364 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-02-07 | 17,656 | $6.90 | 228,020 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-07 | 70,000 | $8.50 | 158,020 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-02-10 | 49,531 | $6.90 | 207,551 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-10 | 74,864 | $8.61 | 132,687 | No | 4 | S | Direct |
| 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 | 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 | 2014-02-07 | 2,344 | $0.00 | 2,344 | $2.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-02-07 | 50,000 | $0.00 | 50,000 | $6.71 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-02-07 | 4,882 | $0.00 | 62,226 | $6.90 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-02-10 | 49,531 | $0.00 | 57,344 | $6.90 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-02-07 | 12,774 | $0.00 | 12,774 | $6.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-09-07 | No | 4 | M | Direct | |
| 0 | 2019-03-02 | No | 4 | M | Direct | |
| 57,344 | 2020-06-26 | No | 4 | M | Direct | |
| 7,813 | 2020-06-26 | No | 4 | M | Direct | |
| 0 | 2020-06-26 | 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) | $8.19 | 2016-11-23 | 37,500 | 37,500 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $7.45 | 2019-08-10 | 33,000 | 33,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $8.58 | 2021-02-10 | 16,250 | 16,250 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $8.58 | 2021-02-10 | 48,750 | 48,750 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $8.58 | 2021-02-10 | 65,000 | 65,000 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 9,375 | 9,375 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 21,333 | 21,333 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 66,666 | 66,666 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2016-11-23 | 37,500 | 37,500 | Direct |
| 2019-08-10 | 33,000 | 33,000 | Direct |
| 2021-02-10 | 16,250 | 16,250 | Direct |
| 2021-02-10 | 48,750 | 48,750 | Direct |
| 2021-02-10 | 65,000 | 65,000 | Direct |
| 9,375 | 9,375 | Direct | |
| 21,333 | 21,333 | Direct | |
| 66,666 | 66,666 | Direct |
Footnotes
- This price represents the weighted average sale price of the shares sold ranging from $8.50 to $8.515 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.
- This price represents the weighted average sale price of the shares sold ranging from $8.50 to $8.75 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.
- The option is fully vested.
- The option vests and becomes exercisable in forty-eight monthly installments beginning on June 26, 2010.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
- The RSUs vest in four annual installments beginning on July 1, 2011.
- The RSUs vest in three annual installments beginning on February 5, 2013.
- The RSUs vest in three annual installments beginning on February 5, 2014.
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