SEC Form 4 · accession 0001209191-16-134320

INFINERA Corp · INFN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Jul 26, 2016

Accepted (ET)

Jul 28, 2016 · 5:20 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 Stock	holding	—	—		—	1,014,657	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2,F6	—	Jul 26, 2016	A	37,563	A	—	—	Common Stock	37,563	37,563	D
Employee Stock Option (Right to Buy)^F1	$8.19	holding	—	—	—	—	Nov 23, 2019	Common Stock	90,056	90,056	D
Employee Stock Option (Right to Buy)^F1	$8.58	holding	—	—	—	—	Feb 10, 2021	Common Stock	14,286	14,286	D
Employee Stock Option (Right to Buy)^F1	$8.58	holding	—	—	—	—	Feb 10, 2021	Common Stock	32,965	32,965	D
Employee Stock Option (Right to Buy)^F1	$8.58	holding	—	—	—	—	Feb 10, 2021	Common Stock	30,475	30,475	D
Employee Stock Option (Right to Buy)^F1	$8.58	holding	—	—	—	—	Feb 10, 2021	Common Stock	182,250	182,250	D
Restricted Stock Units^F2,F3	—	holding	—	—	—	—	—	Common Stock	35,629	35,629	D
Restricted Stock Units^F2,F4	—	holding	—	—	—	—	—	Common Stock	36,826	36,826	D
Restricted Stock Units^F2,F5	—	holding	—	—	—	—	—	Common Stock	86,850	86,850	D

F1This option is fully-vested.
F2Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock.
F3These RSUs vest in three annual installments beginning on May 5, 2015.
F4These RSUs vest in three annual installments beginning on May 5, 2016.
F5These RSUs vest in four annual installments beginning on May 5, 2017.
F6On February 24, 2015, Mr. Fallon was granted a performance-based RSU award, subject to the achievement of certain performance criteria. The performance criteria related to these shares were met at 136% of target for the performance period, as determined by the administrator per the terms of the original grant, and the common stock issuable with respect to these RSUs will vest on August 5, 2016, subject to Mr. Fallon's continuous status as a service provider through such date.