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INFN Infinera Corporation

5.10
0.13 (2.62%)
27 Apr 2024 - Closed
Delayed by 15 minutes
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
  0.13 2.62% 5.10 2.85 5.22 5.12 4.93 4.98 1,326,380 05:00:11

Statement of Changes in Beneficial Ownership (4)

20/02/2018 11:06pm

Edgar (US Regulatory)


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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Fallon Thomas J
2. Issuer Name and Ticker or Trading Symbol

INFINERA Corp [ INFN ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Executive Officer
(Last)          (First)          (Middle)

C/O INFINERA CORPORATION, 140 CASPIAN COURT
3. Date of Earliest Transaction (MM/DD/YYYY)

2/15/2018
(Street)

SUNNYVALE, CA 94089
(City)        (State)        (Zip)
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                  1282031   I   See Footnote   (1)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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)   $8.19                      (2) 11/23/2019   Common Stock   90056.0     90056   D    
Employee Stock Option (Right to Buy)   $8.58                      (2) 2/10/2021   Common Stock   14286.0     14286   D    
Employee Stock Option (Right to Buy)   $8.58                      (2) 2/10/2021   Common Stock   32965.0     32965   D    
Employee Stock Option (Right to Buy)   $8.58                      (2) 2/10/2021   Common Stock   30475.0     30475   D    
Employee Stock Option (Right to Buy)   $8.58                      (2) 2/10/2021   Common Stock   182250.0     182250   D    
Restricted Stock Units     (3)                    (4)   (4) Common Stock   18413.0     18413   D    
Restricted Stock Units     (3)                    (5)   (5) Common Stock   65137.0     65137   D    
Restricted Stock Units     (3)                    (6)   (6) Common Stock   114831.0     114831   D    
Restricted Stock Units     (3) 2/15/2018     A      135416         (7)   (7) Common Stock   135416.0   $0   135416   D    

Explanation of Responses:
(1)  These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee.
(2)  This option is fully-vested.
(3)  Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock.
(4)  These RSUs vest in three annual installments beginning on May 5, 2016.
(5)  These RSUs vest in four annual installments beginning on May 5, 2017.
(6)  These RSUs vest in four annual installments beginning on May 5, 2018.
(7)  These RSUs vest in four annual installments beginning on May 5, 2019.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Fallon Thomas J
C/O INFINERA CORPORATION
140 CASPIAN COURT
SUNNYVALE, CA 94089
X
Chief Executive Officer

Signatures
/s/ Michael Post, by Power of Attorney 2/20/2018
** 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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