0001181431-13-047839.txt : 20130905 0001181431-13-047839.hdr.sgml : 20130905 20130905174132 ACCESSION NUMBER: 0001181431-13-047839 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130905 FILED AS OF DATE: 20130905 DATE AS OF CHANGE: 20130905 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INFINERA CORP CENTRAL INDEX KEY: 0001138639 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 770560433 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 BUSINESS ADDRESS: STREET 1: 140 CASPIAN COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 408-572-5200 MAIL ADDRESS: STREET 1: 140 CASPIAN COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER COMPANY: FORMER CONFORMED NAME: ZEPTON NETWORKS INC DATE OF NAME CHANGE: 20010418 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN KENNETH A CENTRAL INDEX KEY: 0001218470 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33486 FILM NUMBER: 131081284 MAIL ADDRESS: STREET 1: C/O YAHOO! INC. STREET 2: 701 FIRST AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 rrd389867.xml GOLDMAN'S FORM 4 X0306 4 2013-09-05 0 0001138639 INFINERA CORP INFN 0001218470 GOLDMAN KENNETH A C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE CA 94089 1 0 0 0 Common Stock 2013-09-05 4 M 0 5969 2 A 43203 D Common Stock 2013-09-05 4 S 0 5969 10.6572 D 37234 D Common Stock 3051 I See Footnote Common Stock 33722 I See Footnote Non-Qualified Stock Option (Right to Buy) 2 2013-09-05 4 M 0 5969 0 D 2016-08-29 Common Stock 5969 0 D Non-Qualified Stock Option (Right to Buy) 13 2017-06-06 Common Stock 12500 12500 D Non-Qualified Stock Option (Right to Buy) 13.16 2018-05-13 Common Stock 12500 12500 D Non-Qualified Stock Option (Right to Buy) 7.45 2019-08-10 Common Stock 60000 60000 D Non-Qualified Stock Option (Right to Buy) 7.55 2020-05-19 Common Stock 14500 14500 D Non-Qualified Stock Option (Right to Buy) 7.25 2021-05-18 Common Stock 17600 17600 D Restricted Stock Units Common Stock 13333 13333 D Shares held directly by the Goldman-Valeriote Family Trust u/a/d 11/15/95 for which the Reporting Person serves as trustee. Shares held directly by G.V. Partners, L.P. for which the Reporting Person serves as managing member. The option is fully vested. Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock. The RSUs fully vest on May 15, 2014. This sale was made in connection with the Reporting Person's Rule 10b5-1 Trading Plan, which was adopted on May 30, 2013. This price represents the weighted average sale price of the shares sold ranging from $10.60 to $10.72 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. /s/ Donica Forensich, by Power of Attorney 2013-09-05