Filing Details
- Accession Number:
- 0001181431-11-031762
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-20 19:36:09
- Reporting Period:
- 2011-05-18
- Filing Date:
- 2011-05-20
- Accepted Time:
- 2011-05-20 19:36:09
- 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 |
|---|---|---|---|---|---|---|---|
| 1116230 | Dan Maydan | C/O Infinera Corporation 169 Java Drive Sunnyvale CA 94089 | Yes | No | 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 | 2011-05-19 | 5,500 | $0.00 | 0 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-05-19 | 5,500 | $7.29 | 54,597 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Restricted Stock Units | Disposition | 2011-05-19 | 5,500 | $0.00 | 5,500 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2011-05-18 | 9,100 | $0.00 | 9,100 | $0.00 |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | Acquisiton | 2011-05-18 | 17,600 | $0.00 | 17,600 | $7.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 9,100 | No | 4 | A | Direct | ||
| 17,600 | 2021-05-18 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 13,803 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $7.55 | 2020-05-19 | 14,500 | 14,500 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $7.45 | 2019-08-10 | 37,500 | 37,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-05-19 | 14,500 | 14,500 | Direct |
| 2019-08-10 | 37,500 | 37,500 | Direct |
Footnotes
- Excludes 5,500 shares previously held by the Reporting Person which were re-registered to the Maydan Marital Share One UAD 5/06/00 on May 19, 2011 and sold on May 19, 2011.
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 13, 2010.
- Shares held directly by the Maydan Marital Share One UAD 5/06/00 for which the Reporting Person serves as trustee.
- Shares held directly by the Dan Maydan 1981 Marital Share 1 U/A DTD 3/26/81 for which the Reporting Person serves as trustee.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock.
- The RSUs fully vested on May 19, 2011.
- The RSUs fully vest on May 18, 2012.
- The option fully vests on May 18, 2012.
- The option fully vested on May 19, 2011.
- The option vests and becomes exercisable in twenty-four equal monthly installments commencing on the date of grant.
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