Filing Details
- Accession Number:
- 0001181431-14-030302
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-27 16:52:06
- Reporting Period:
- 2014-08-25
- Filing Date:
- 2014-08-27
- Accepted Time:
- 2014-08-27 16:52:06
- 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 | Disposition | 2014-08-25 | 50,000 | $9.73 | 830,719 | 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 | 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 | 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 | 51,666 | 51,666 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 75,333 | 75,333 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 106,888 | 106,888 | 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 | 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 |
51,666 | 51,666 | Direct | |
75,333 | 75,333 | Direct | |
106,888 | 106,888 | Direct |
Footnotes
- Shares held directly by the Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon serves as trustee.
- Shares held directly by Mr. Fallon as a trustee for his children. Mr. Fallon disclaims beneficial ownership of the shares held in trusts for his children, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in trusts for his children for purposes of Section 16 or for any other purpose.
- The option is fully vested.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation (the "Company") common stock.
- The RSUs vest in three annual installments beginning on February 5, 2013.
- The RSUs vest in three annual installments beginning on February 5, 2014.
- The RSUs vest in three annual installments beginning on May 5, 2015.
- This sale was made in connection with Mr. Fallon's Rule 10b5-1 Trading Plan, which was adopted on May 15, 2014.
- This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $9.70 to $9.76 per share. Upon request by the staff of the Securities and Exchange Commission, 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.