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