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