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Filing Details

Accession Number:: 0001181431-14-034981
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-10-29 17:40:57
Reporting Period:: 2014-10-27

Filing Date:: 2014-10-29
Accepted Time:: 2014-10-29 17:40:57
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

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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	Acquisiton	2014-10-27	100,000	$7.45	100,000	No	4	M	Direct
Common Stock	Acquisiton	2014-10-27	29,214	$7.61	129,214	No	4	M	Direct
Common Stock	Acquisiton	2014-10-27	20,786	$7.61	150,000	No	4	M	Direct
Common Stock	Disposition	2014-10-27	150,000	$13.56	0	No	4	S	Direct
Common Stock	Disposition	2014-10-27	5,000	$13.56	905	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2014-10-27	5,000	$13.56	903	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2014-10-27	5,000	$13.56	903	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2014-10-27	5,000	$13.56	903	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2014-10-27	50,000	$13.56	780,719	No	4	S	Indirect	See Footnote

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	S	Indirect	See Footnote
No	4	S	Indirect	See Footnote
No	4	S	Indirect	See Footnote
No	4	S	Indirect	See Footnote
No	4	S	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2014-10-27	29,214	$0.00	29,214	$7.61
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2014-10-27	20,786	$0.00	101,342	$7.61
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2014-10-27	100,000	$0.00	100,000	$7.45

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2017-06-06	No	4	M	Direct
80,556	2017-06-06	No	4	M	Direct
0	2019-08-10	No	4	M	Direct

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)	$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
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 $13.34 to $13.84 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.
This sale was made in connection with the Rule 10b5-1 Trading Plan for The Nolan M. Fallon 2006 Trust U/A DTD 05/02/2006, 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 $13.34 to $13.83 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.
This sale was made in connection with the Rule 10b5-1 Trading Plan for The Riley T. Fallon 2006 Trust U/A DTD 05/02/2006, which was adopted on May 15, 2014.
This sale was made in connection with the Rule 10b5-1 Trading Plan for The Georgia M. Fallon 2006 Trust U/A DTD 05/02/2006, which was adopted on May 15, 2014.
This sale was made in connection with the Rule 10b5-1 Trading Plan for The Audrey N. Fallon 2006 Trust U/A DTD 05/02/2006, which was adopted on May 15, 2014.