SEC Form 4 · accession 0001209191-16-120445
INFINERA Corp · INFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Redfield
Director
Period of report
May 12, 2016
Accepted (ET)
May 16, 2016 · 5:17 pm EDT
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 | May 12, 2016 | M | 7,913 | $0.00 | A | 56,361 | I | See Footnote |
| Common Stock | holding | — | — | — | 39,562 | D |
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,F4 | — | May 12, 2016 | M | 7,913 | D | — | — | Common Stock | 7,913 | 0 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $13.00 | holding | — | — | — | — | Jun 6, 2017 | Common Stock | 12,500 | 12,500 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $13.16 | holding | — | — | — | — | May 13, 2018 | Common Stock | 12,500 | 12,500 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $7.45 | holding | — | — | — | — | Aug 10, 2019 | Common Stock | 50,000 | 50,000 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $7.55 | holding | — | — | — | — | May 19, 2020 | Common Stock | 14,500 | 14,500 | D |
| Non-Qualified Stock Option (Right to Buy)F2 | $7.25 | holding | — | — | — | — | May 18, 2021 | Common Stock | 17,600 | 17,600 | D |
Explanation of responses
- F1These shares are held directly by The Carl Redfield Trust 2000 dated 10/18/00, for which Mr. Redfield serves as trustee.
- F2This option is fully vested.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation.
- F4These RSUs fully vested on May 12, 2016.