SEC Form 4 · accession 0001209191-16-134745
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
Aug 1, 2016
Accepted (ET)
Aug 2, 2016 · 11:39 am 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 | Aug 1, 2016 | P | 100,000 | $8.5355 | A | 1,114,657 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 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 | 35,629 | 35,629 | D |
| Restricted Stock UnitsF3,F5 | — | holding | — | — | — | — | — | Common Stock | 36,826 | 36,826 | D |
| Restricted Stock UnitsF3,F6 | — | holding | — | — | — | — | — | Common Stock | 86,850 | 86,850 | D |
| Restricted Stock UnitsF3,F7 | — | holding | — | — | — | — | — | Common Stock | 37,563 | 37,563 | D |
Explanation of responses
- F1This price represents the weighted average purchase price of the shares bought in multiple transactions at prices ranging from $8.48 to $8.57 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.
- F2This option is fully-vested.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
- F4These RSUs vest in three annual installments beginning on May 5, 2015.
- F5These RSUs vest in three annual installments beginning on May 5, 2016.
- F6These RSUs vest in four annual installments beginning on May 5, 2017.
- F7These RSUs vest in full on August 5, 2016.