0001138639-18-000037.txt : 20180223
0001138639-18-000037.hdr.sgml : 20180223
20180223170521
ACCESSION NUMBER: 0001138639-18-000037
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180221
FILED AS OF DATE: 20180223
DATE AS OF CHANGE: 20180223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Welch David F
CENTRAL INDEX KEY: 0001399122
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33486
FILM NUMBER: 18637520
MAIL ADDRESS:
STREET 1: C/O INFINERA CORPORATION
STREET 2: 140 CASPIAN COURT
CITY: SUNNYVALE
STATE: CA
ZIP: 94089
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: 1231
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: INFINERA CORP
DATE OF NAME CHANGE: 20030528
FORMER COMPANY:
FORMER CONFORMED NAME: ZEPTON NETWORKS INC
DATE OF NAME CHANGE: 20010418
4
1
wf-form4_151942342353030.xml
FORM 4
X0306
4
2018-02-21
0
0001138639
INFINERA Corp
INFN
0001399122
Welch David F
C/O INFINERA CORPORATION
140 CASPIAN COURT
SUNNYVALE
CA
94089
1
1
0
0
Chief Strategy & Tech. Officer
Common Stock
2018-02-21
4
S
0
35407
10.0067
D
564351
I
See Footnote
Common Stock
292293
I
See Footnote
Common Stock
528150
I
See Footnote
Common Stock
140000
I
See Footnote
Common Stock
2500
I
See Footnote
Employee Stock Option (Right to Buy)
7.11
2019-02-10
Common Stock
100000.0
100000
D
Employee Stock Option (Right to Buy)
7.45
2019-08-10
Common Stock
150000.0
150000
D
Employee Stock Option (Right to Buy)
8.58
2021-02-10
Common Stock
20250.0
20250
D
Employee Stock Option (Right to Buy)
8.58
2021-02-10
Common Stock
60750.0
60750
D
Employee Stock Option (Right to Buy)
8.58
2021-02-10
Common Stock
39465.0
39465
D
Employee Stock Option (Right to Buy)
8.58
2021-02-10
Common Stock
41535.0
41535
D
Restricted Stock Units
Common Stock
9590.0
9590
D
Restricted Stock Units
Common Stock
14385.0
14385
D
Restricted Stock Units
Common Stock
65137.0
65137
D
Restricted Stock Units
Common Stock
114831.0
114831
D
Restricted Stock Units
Common Stock
68750.0
68750
D
This sale was made pursuant to a Rule 10b5-1 Trading Plan for The Welch Family Trust u/a dtd 04/03/1996 ("The Welch Family Trust").
This price represents the weighted average sale price of the shares sold by The Welch Family Trust in multiple transactions at prices ranging from $10.00 to $10.04 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (the "Company") or a security holder of the Company, Dr. Welch will provide full information regarding the number of shares sold at each separate price.
These shares are held directly by The Welch Family Trust, for which Dr. Welch is a trustee.
These shares are held directly by LRFA, LLC, for which Dr. Welch is the sole managing member.
These shares are held directly by The Welch Family Heritage Trust I u/I dated 9/24/01, for which Dr. Welch is a trustee.
These shares are held directly by The Welch Group, L.P., for which Dr. Welch is a general partner.
These shares are held directly by Dr. Welch as a trustee for his children. Dr. Welch disclaims beneficial ownership of the shares held in trust for his children, and this report shall not be deemed an admission that Dr. Welch is the beneficial owner of the shares held in trust for his children for purposes of Section 16 or for any other purpose.
This option is fully-vested.
Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock.
These RSUs vest in three annual installments beginning on May 5, 2016.
These RSUs vest in full on May 5, 2018.
These RSUs vest in four annual installments beginning on May 5, 2017.
These RSUs vest in four annual installments beginning on May 5, 2018.
These RSUs vest in four annual installments beginning on May 5, 2019.
/s/ Michael Post, by Power of Attorney
2018-02-23