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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Infinera Corporation | NASDAQ:INFN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
-0.15 | -2.82% | 5.16 | 5.25 | 5.48 | 5.43 | 5.20 | 5.34 | 2,815,743 | 00:31:41 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
MCCARTHY MICHAEL O III |
2. Issuer Name
and
Ticker or Trading Symbol
INFINERA CORP [ INFN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chief Legal & Admin Officer |
C/O INFINERA CORPORATION, 140 CASPIAN COURT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
SUNNYVALE, CA 94089 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 2/5/2012 | M | 11000 | A | $ 0 | 44047 | D | |||
Common Stock | 2/5/2012 | F | 3515 | D | $8.38 | 40532 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $1.84 | (1) | 5/15/2013 | Common Stock | 1319 | 1319 | D | ||||||||
Employee Stock Option (Right to Buy) | $1.32 | (2) | 11/28/2015 | Common Stock | 7996 | 7996 | D | ||||||||
Employee Stock Option (Right to Buy) | $2 | (3) | 8/8/2016 | Common Stock | 8703 | 8703 | D | ||||||||
Employee Stock Option (Right to Buy) | $2 | (3) | 8/8/2016 | Common Stock | 11805 | 11805 | D | ||||||||
Employee Stock Option (Right to Buy) | $7.11 | (4) | 2/10/2019 | Common Stock | 45309 | 45309 | D | ||||||||
Employee Stock Option (Right to Buy) | $7.45 | (5) | 8/10/2019 | Common Stock | 51040 | 51040 | D | ||||||||
Employee Stock Option (Right to Buy) | $8.19 | (6) | 11/23/2016 | Common Stock | 56250 | 56250 | D | ||||||||
Employee Stock Option (Right to Buy) | $7.61 | (7) | 6/6/2017 | Common Stock | 25642 | 25642 | D | ||||||||
Employee Stock Option (Right to Buy) | $7.61 | (7) | 6/6/2017 | Common Stock | 29355 | 29355 | D | ||||||||
Employee Stock Option (Right to Buy) | $7.61 | (8) | 2/28/2018 | Common Stock | 2886 | 2886 | D | ||||||||
Employee Stock Option (Right to Buy) | $7.61 | (8) | 2/28/2018 | Common Stock | 59780 | 59780 | D | ||||||||
Employee Stock Option (Right to Buy) | $8.58 | (9) | 2/10/2021 | Common Stock | 38577 | 38577 | D | ||||||||
Employee Stock Option (Right to Buy) | $8.58 | (9) | 2/10/2021 | Common Stock | 26423 | 26423 | D | ||||||||
Restricted Stock Units | (10) | 2/5/2012 | M | 11000 | (11) | (11) | Common Stock | 22000 | $ 0 | 22000 | D | ||||
Restricted Stock Units | (10) | (12) | (12) | Common Stock | 64000 | 64000 | D |
Explanation of Responses: | |
( 1) | The option fully vested on May 5, 2007. |
( 2) | The option fully vested on July 26, 2009. |
( 3) | The option fully vested on June 28, 2010. |
( 4) | The option fully vested on February 10, 2011. |
( 5) | The option fully vested on August 10, 2011. |
( 6) | The option vests and becomes exercisable in thirty-six equal monthly installments beginning on November 23, 2009. |
( 7) | The option vests and becomes exercisable in thirty-six equal monthly installments beginning on February 5, 2010. |
( 8) | The option vests and becomes exercisable in forty-eight equal monthly installments beginning on February 5, 2010. |
( 9) | The option vests and becomes exercisable in thirty-six equal monthly installments beginning on February 10, 2011. |
( 10) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock. |
( 11) | The RSUs vest in three equal annual installments beginning on February 5, 2012. |
( 12) | The RSUs vest in three equal annual installments beginning on February 5, 2013. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
MCCARTHY MICHAEL O III
C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE, CA 94089 |
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Chief Legal & Admin Officer |
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Signatures
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||
/s/ Michael O. McCarthy III | 2/7/2012 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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