0001181431-14-023108.txt : 20140624 0001181431-14-023108.hdr.sgml : 20140624 20140606160457 ACCESSION NUMBER: 0001181431-14-023108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140605 FILED AS OF DATE: 20140606 DATE AS OF CHANGE: 20140606 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: Welch David F CENTRAL INDEX KEY: 0001399122 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33486 FILM NUMBER: 14896625 MAIL ADDRESS: STREET 1: C/O INFINERA CORPORATION STREET 2: 140 CASPIAN COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 4 1 rrd411171.xml WELCH'S FORM 4 X0306 4 2014-06-05 0 0001138639 INFINERA CORP INFN 0001399122 Welch David F C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE CA 94089 1 1 0 0 President Common Stock 2014-06-05 4 S 0 10000 9 D 709493 I See Footnote Common Stock 14132 D Common Stock 336979 I See Footnote Common Stock 553750 I See Footnote Common Stock 500000 I See Footnote Common Stock 2500 I See Footnote Employee Stock Option (Right to Buy) 2 2016-08-08 Common Stock 50000 50000 D Employee Stock Option (Right to Buy) 2 2016-08-08 Common Stock 137500 137500 D Employee Stock Option (Right to Buy) 8.19 2016-11-23 Common Stock 75000 75000 D Employee Stock Option (Right to Buy) 7.61 2017-06-06 Common Stock 29214 29214 D Employee Stock Option (Right to Buy) 7.61 2017-06-06 Common Stock 101342 101342 D Employee Stock Option (Right to Buy) 7.61 2018-02-28 Common Stock 2817 2817 D Employee Stock Option (Right to Buy) 7.61 2018-02-28 Common Stock 81683 81683 D Employee Stock Option (Right to Buy) 7.11 2019-02-10 Common Stock 100000 100000 D Employee Stock Option (Right to Buy) 7.45 2019-08-10 Common Stock 150000 150000 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 20250 20250 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 60750 60750 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 39465 39465 D Employee Stock Option (Right to Buy) 8.58 2021-02-10 Common Stock 41535 41535 D Restricted Stock Units Common Stock 26333 26333 D Restricted Stock Units Common Stock 71250 71250 D Restricted Stock Units Common Stock 40000 40000 D Restricted Stock Units Common Stock 48000 48000 D Restricted Stock Units Common Stock 62770 62770 D Shares held directly by LRFA, LLC of which the Reporting Person is the sole managing member. Shares held directly by The Welch Family Trust u/a dtd 04/03/1996. Shares held directly by SEI Private Trust Company, Trustee of the Welch Family Heritage Trust I u/I dated 9/24/01. Shares held directly by The Welch Group, L.P. of which the Reporting Person is the general partner. Shares held directly by the Reporting Person as a trustee for his minor children. The Reporting Person disclaims beneficial ownership of the shares held in trust for his minor children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trust for his minor children for purposes of Section 16 or for any other purpose. The option is fully vested. Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation. The RSUs vest in three annual installments beginning on February 5, 2013. The RSUs fully vest on December 31, 2014. The RSUs vest in three annual installments beginning on February 5, 2014. The RSUs vest in four annual installments beginning on August 5, 2014. The RSUs vest in three annual installments beginning on May 5, 2015. This sale was made in connection with the Reporting Person's Rule 10b5-1 Trading Plan, which was adopted on May 24, 2013. /s/ Alastair A. Short, by Power of Attorney 2014-06-06