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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 | (2) | 11/23/2016 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (2) | 11/23/2019 | Common Stock | 5,595 | 5,595 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (2) | 11/23/2019 | Common Stock | 294,405 | 294,405 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (2) | 02/28/2018 | Common Stock | 15,056 | 15,056 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (2) | 02/10/2021 | Common Stock | 14,286 | 14,286 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (2) | 02/10/2021 | Common Stock | 32,965 | 32,965 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (2) | 02/10/2021 | Common Stock | 30,475 | 30,475 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (2) | 02/10/2021 | Common Stock | 182,250 | 182,250 | D | ||||||||
Restricted Stock Units | (3) | 02/05/2015 | M | 51,666 | (4) | (4) | Common Stock | 51,666 | $ 0 | 0 | D | ||||
Restricted Stock Units | (3) | 02/05/2015 | M | 37,667 | (5) | (5) | Common Stock | 75,333 | $ 0 | 37,666 | D | ||||
Restricted Stock Units | (3) | (6) | (6) | Common Stock | 106,888 | 106,888 | D | ||||||||
Restricted Stock Units | (3) | 02/05/2015 | M | 85,000 | (7) | (7) | Common Stock | 85,000 | $ 0 | 0 | D | ||||
Restricted Stock Units | (3) | 02/05/2015 | M | 80,166 | (8) | (8) | Common Stock | 80,166 | $ 0 | 0 | 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 | 02/09/2015 | |
**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) | 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 February 5, 2013. |
(5) | These RSUs vest in three annual installments beginning on February 5, 2014. |
(6) | These RSUs vest in three annual installments beginning on May 5, 2015. |
(7) | This includes 85,000 shares granted pursuant to a performance-based RSU award, which vested and released to Mr. Fallon effective February 5, 2015. |
(8) | This includes 80,166 shares granted pursuant to a performance-based RSU award, which vested and released to Mr. Fallon effective February 5, 2015. |