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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (3) | 11/23/2016 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (3) | 06/06/2017 | Common Stock | 29,214 | 29,214 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (3) | 06/06/2017 | Common Stock | 101,342 | 101,342 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.11 | (3) | 02/10/2019 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.45 | (3) | 08/10/2019 | Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (3) | 11/23/2019 | Common Stock | 5,595 | 5,595 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (3) | 11/23/2019 | Common Stock | 294,405 | 294,405 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (3) | 02/28/2018 | Common Stock | 2,817 | 2,817 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (3) | 02/28/2018 | Common Stock | 81,683 | 81,683 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 14,286 | 14,286 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 32,965 | 32,965 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 30,475 | 30,475 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 182,250 | 182,250 | D | ||||||||
Restricted Stock Units | (4) | (5) | (5) | Common Stock | 51,666 | 51,666 | D | ||||||||
Restricted Stock Units | (4) | (6) | (6) | Common Stock | 75,333 | 75,333 | D | ||||||||
Restricted Stock Units | (4) | (7) | (7) | Common Stock | 106,888 | 106,888 | D |
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 |
/s/ Michael Post, by Power of Attorney | 08/27/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares held directly by the Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon serves as trustee. |
(2) | Shares held directly by Mr. Fallon as a trustee for his children. Mr. Fallon disclaims beneficial ownership of the shares held in trusts for his children, and this report shall not be deemed an admission that Mr. Fallon is the beneficial owner of the shares held in trusts for his children for purposes of Section 16 or for any other purpose. |
(3) | The option is fully vested. |
(4) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation (the "Company") common stock. |
(5) | The RSUs vest in three annual installments beginning on February 5, 2013. |
(6) | The RSUs vest in three annual installments beginning on February 5, 2014. |
(7) | The RSUs vest in three annual installments beginning on May 5, 2015. |
(8) | This sale was made in connection with Mr. Fallon's Rule 10b5-1 Trading Plan, which was adopted on May 15, 2014. |
(9) | This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $9.70 to $9.76 per share. Upon request by the staff of the Securities and Exchange Commission, the Company or a security holder of the Company, Mr. Fallon will provide full information regarding the number of shares sold at each separate price. |
Remarks: Exhibit 24.1 - Power of Attorney |