Filing Details
- Accession Number:
- 0001181431-14-032480
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-22 16:59:25
- Reporting Period:
- 2014-09-18
- Filing Date:
- 2014-09-22
- Accepted Time:
- 2014-09-22 16:59:25
- 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 | Acquisiton | 2014-09-18 | 100,000 | $7.11 | 100,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-09-18 | 50,000 | $7.45 | 150,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-09-18 | 150,000 | $11.43 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2014-09-18 | 100,000 | $0.00 | 100,000 | $7.11 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2014-09-18 | 50,000 | $0.00 | 150,000 | $7.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-02-10 | No | 4 | M | Direct | |
| 100,000 | 2019-08-10 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,905 | Indirect | See Footnote |
| Common Stock | 5,903 | Indirect | See Footnote |
| Common Stock | 5,903 | Indirect | See Footnote |
| Common Stock | 5,903 | Indirect | See Footnote |
| Common Stock | 830,719 | 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) | $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 |
| 2019-11-23 | 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
- These shares are held directly by The Nolan M. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
- These shares are held directly by The Riley T. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
- These shares are held directly by The Georgia M. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
- These shares are held directly by The Audrey N. Fallon 2006 Trust U/A DTD 05/02/2006, for which Mr. Fallon is a trustee. Mr. Fallon disclaims beneficial ownership of the shares held in this trust, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in this trust for purposes of Section 16 or for any other purpose.
- These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee.
- This option is fully-vested.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company").
- These RSUs vest in three annual installments beginning on February 5, 2013.
- These RSUs vest in three annual installments beginning on February 5, 2014.
- These 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 $11.42 to $11.60 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.
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