0001138639-19-000042.txt : 20190508 0001138639-19-000042.hdr.sgml : 20190508 20190508090114 ACCESSION NUMBER: 0001138639-19-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190327 FILED AS OF DATE: 20190508 DATE AS OF CHANGE: 20190508 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: 19805348 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: 1229 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_155732045906327.xml FORM 4 X0306 4 2019-03-27 0 0001138639 INFINERA Corp INFN 0001399122 Welch David F C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE CA 94089 1 0 0 0 Common Stock 2019-05-05 4 M 0 21712 0 A 1476686 I See Footnote Common Stock 2019-05-05 4 F 0 7419 4.43 D 1469267 I See Footnote Common Stock 2019-05-05 4 M 0 28708 0 A 1497975 I See Footnote Common Stock 2019-05-05 4 F 0 9928 4.43 D 1488047 I See Footnote Common Stock 2019-05-05 4 M 0 17188 0 A 1505235 I See Footnote Common Stock 2019-05-05 4 F 0 5944 4.43 D 1499291 I See Footnote Common Stock 117293 I See Footnote Common Stock 0 I See Footnote Common Stock 0 I See Footnote Common Stock 2500 I See Footnote 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 2019-03-27 4 A 0 100000 0 D Common Stock 100000.0 100000 D Restricted Stock Units 2019-05-05 4 M 0 21712 0 D Common Stock 21712.0 21712 D Restricted Stock Units 2019-05-05 4 M 0 28708 0 D Common Stock 28708.0 57415 D Restricted Stock Units 2019-05-05 4 M 0 17188 0 D Common Stock 17188.0 51562 D These shares are held directly by The Welch Family Trust U/A DTD 4/3/1996 ("The Welch Family Trust"), for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 175,000 shares which were previously held directly by LRFA, LLC ("LRFA"), were re-registered and are now held directly by The Welch Family Trust; (ii) 71,400 shares, which were previously held directly by The Welch Group, L.P. ("The Welch Group"), were re-registered and are now held directly by The Welch Family Trust; and (iii) 596,750 shares, which were previously held directly by Alexandra J. Welch, TTEE Welch Family Heritage Trust I U/A DTD 9/24/2001 ("The Welch Family Heritage Trust"), were re-registered and are now held directly by The Welch Family Trust. These shares are held directly by LRFA, for which Dr. Welch is the sole managing member. Since Dr. Welch's last Form 4 filing, 175,000 shares, which were previously held directly by LRFA, were re-registered and are now held directly by The Welch Family Trust. These shares are held directly by The Welch Family Heritage Trust, for which Dr. Welch is a trustee. Since Dr. Welch's last Form 4 filing on May 8, 2018: (i) 528,150 shares, which were previously held directly by The Welch Family Heritage Trust, were re-registered and are now held directly by The Welch Family Trust; and (ii) 68,600 shares, which were previously held directly by The Welch Group, were re-registered and are now held directly by The Welch Family Trust. The share balance for this account is now zero. These shares are held directly by The Welch Group for which Dr. Welch is a general partner. Since Dr. Welch's last filing Form 4 filing on May 8, 2018: (i) 68,600 shares, which were previously held directly by The Welch Group, were re-registered and are now held directly by The Welch Family Heritage Trust; and (ii) 71,400 shares, which were previously held directly by The Welch Group, were re-registered and are now held directly by The Welch Family Trust. The share balance for this account is now zero. 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 common stock of Infinera Corporation. These RSUs vest in three annual installments beginning on May 5, 2020. 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 three annual installments beginning on May 5, 2019. /s/ Michael Post, by Power of Attorney 2019-05-07