SEC Form 4 · accession 0001209191-16-148891
INFINERA Corp · INFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Laufman
Officer — Senior VP and General Counsel
Period of report
Nov 5, 2016
Accepted (ET)
Nov 8, 2016 · 4:50 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 | Nov 5, 2016 | M | 23,652 | $0.00 | A | 34,487 | D | |
| Common Stock | Nov 5, 2016 | F | 8,889 | $7.32 | D | 25,598 | 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 UnitsF2,F3 | — | Nov 5, 2016 | M | 23,652 | D | — | — | Common Stock | 70,955 | 47,303 | D |
| Restricted Stock UnitsF2,F4 | — | holding | — | — | — | — | — | Common Stock | 29,220 | 29,220 | D |
Explanation of responses
- F1This includes 683 shares acquired under the Infinera Corporation (the "Company") 2007 Employee Stock Purchase Plan on August 15, 2016.
- F2Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
- F3These RSUs vest in four annual installments beginning on November 5, 2014.
- F4These RSUs vest in four annual installments beginning on May 5, 2017.