0001209191-15-078443.txt : 20151104 0001209191-15-078443.hdr.sgml : 20151104 20151104163916 ACCESSION NUMBER: 0001209191-15-078443 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151102 FILED AS OF DATE: 20151104 DATE AS OF CHANGE: 20151104 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: Fallon Thomas J CENTRAL INDEX KEY: 0001399121 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33486 FILM NUMBER: 151197473 MAIL ADDRESS: STREET 1: C/O INFINERA CORPORATION STREET 2: 140 CASPIAN COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-02 0 0001138639 INFINERA CORP INFN 0001399121 Fallon Thomas J C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE CA 94089 1 1 0 0 Chief Executive Officer Common Stock 2015-11-02 4 M 0 75000 8.19 A 75000 D Common Stock 2015-11-02 4 M 0 5595 8.19 A 80595 D Common Stock 2015-11-02 4 M 0 69405 8.19 A 150000 D Common Stock 2015-11-02 4 S 0 150000 19.8459 D 0 D Common Stock 2015-11-02 4 S 0 50000 19.8459 D 769456 I See Footnote Employee Stock Option (Right to Buy) 8.19 2015-11-02 4 M 0 75000 0.00 D 2016-11-23 Common Stock 75000 0 D Employee Stock Option (Right to Buy) 8.19 2015-11-02 4 M 0 5595 0.00 D 2019-11-23 Common Stock 5595 0 D Employee Stock Option (Right to Buy) 8.19 2015-11-02 4 M 0 69405 0.00 D 2019-11-23 Common Stock 159461 90056 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 14286 14286 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 32965 32965 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 30475 30475 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 182250 182250 D Restricted Stock Units Common Stock 37666 37666 D Restricted Stock Units Common Stock 71258 71258 D Restricted Stock Units Common Stock 55240 55240 D This sale was made in connection with Mr. Fallon's Rule 10b5-1 Trading Plan, which was adopted on May 29, 2015. This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $19.49 to $20.08 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (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. These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee. This option is fully-vested. Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Company. These RSUs vest in three annual installments beginning on February 5, 2014. These RSUs vest in three annual installments beginning on May 5, 2015. These RSUs vest in three annual installments beginning on May 5, 2016. /s/ Michael Post, by Power of Attorney 2015-11-04