Filing Details
- Accession Number:
- 0001138639-17-000085
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-13 14:31:02
- Reporting Period:
- 2017-11-13
- Accepted Time:
- 2017-11-13 14:31:02
- 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 | 2017-11-13 | 100,000 | $6.33 | 1,282,031 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | 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 | 2019-11-23 | 90,056 | 90,056 | 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 | 18,413 | 18,413 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 65,137 | 65,137 | Direct | ||
| Common Stock | Restricted Stock Units | $0.00 | 114,831 | 114,831 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-11-23 | 90,056 | 90,056 | 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 |
| 18,413 | 18,413 | Direct | |
| 65,137 | 65,137 | Direct | |
| 114,831 | 114,831 | Direct |
Footnotes
- This price represents the weighted average purchase price of the shares bought in multiple transactions at prices ranging from $6.30 to $6.37 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 purchased at each separate price.
- This includes 2,127 shares acquired under the Company's 2007 Employee Stock Purchase Plan on August 15, 2017.
- 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 the Company's common stock.
- These RSUs vest in three annual installments beginning on May 5, 2016.
- These RSUs vest in four annual installments beginning on May 5, 2017.
- These RSUs vest in four annual installments beginning on May 5, 2018.
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