SEC Form 4 · accession 0001138639-18-000022
INFINERA Corp · INFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Fallon
Officer — Chief Executive Officer · Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 6:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001138639
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,282,031 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F7 | — | Feb 15, 2018 | A | 135,416 | A | — | — | Common Stock | 135,416 | 135,416 | D |
| Employee Stock Option (Right to Buy)F2 | $8.19 | holding | — | — | — | — | Nov 23, 2019 | Common Stock | 90,056 | 90,056 | D |
| Employee Stock Option (Right to Buy)F2 | $8.58 | holding | — | — | — | — | Feb 10, 2021 | Common Stock | 14,286 | 14,286 | D |
| Employee Stock Option (Right to Buy)F2 | $8.58 | holding | — | — | — | — | Feb 10, 2021 | Common Stock | 32,965 | 32,965 | D |
| Employee Stock Option (Right to Buy)F2 | $8.58 | holding | — | — | — | — | Feb 10, 2021 | Common Stock | 30,475 | 30,475 | D |
| Employee Stock Option (Right to Buy)F2 | $8.58 | holding | — | — | — | — | Feb 10, 2021 | Common Stock | 182,250 | 182,250 | D |
| Restricted Stock UnitsF3,F4 | — | holding | — | — | — | — | — | Common Stock | 18,413 | 18,413 | D |
| Restricted Stock UnitsF3,F5 | — | holding | — | — | — | — | — | Common Stock | 65,137 | 65,137 | D |
| Restricted Stock UnitsF3,F6 | — | holding | — | — | — | — | — | Common Stock | 114,831 | 114,831 | D |
Explanation of responses
- F1These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee.
- F2This option is fully-vested.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock.
- F4These RSUs vest in three annual installments beginning on May 5, 2016.
- F5These RSUs vest in four annual installments beginning on May 5, 2017.
- F6These RSUs vest in four annual installments beginning on May 5, 2018.
- F7These RSUs vest in four annual installments beginning on May 5, 2019.