Filing Details
- Accession Number:
- 0001209191-15-036736
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-28 18:07:51
- Reporting Period:
- 2015-04-24
- Filing Date:
- 2015-04-28
- Accepted Time:
- 2015-04-28 18:07:51
- 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 | 2015-04-24 | 134,944 | $8.19 | 134,944 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2015-04-24 | 15,056 | $7.61 | 150,000 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-04-24 | 150,000 | $19.65 | 0 | No | 4 | S | Direct | |
Common Stock | Disposition | 2015-04-24 | 50,000 | $19.65 | 802,418 | 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 | S | Direct | |
No | 4 | S | Indirect | See Footnote |
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 | 2015-04-24 | 134,944 | $0.00 | 294,405 | $8.19 |
Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-04-24 | 15,056 | $0.00 | 15,056 | $7.61 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
159,461 | 2019-11-23 | No | 4 | M | Direct | |
0 | 2018-02-28 | 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 | 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) | $8.58 | 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 | 37,666 | 37,666 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 106,888 | 106,888 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 55,240 | 55,240 | 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 |
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 |
37,666 | 37,666 | Direct | |
106,888 | 106,888 | Direct | |
55,240 | 55,240 | Direct |
Footnotes
- 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 $19.25 to $20.15 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (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.
- 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 the Company.
- These RSUs vest in three annual installments beginning on February 5, 2014.
- These RSUs vest in three annual installments beginning on May 5, 2015.
- These RSUs vest in three annual installments beginning on May 5, 2016.