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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 2 | (3) | 08/08/2016 | Common Stock | 50,000 | 50,000 | D | ||||||||
Employee Stock Option (Right o Buy) | $ 2 | (3) | 08/08/2016 | Common Stock | 50,000 | 50,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.11 | (3) | 02/10/2019 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.45 | (3) | 08/10/2019 | Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (4) | 11/23/2019 | Common Stock | 5,595 | 5,595 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (4) | 11/23/2019 | Common Stock | 294,405 | 294,405 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (5) | 11/23/2016 | Common Stock | 75,000 | 75,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (6) | 06/06/2017 | Common Stock | 29,214 | 29,214 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (6) | 06/06/2017 | Common Stock | 101,342 | 101,342 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (7) | 02/28/2018 | Common Stock | 2,817 | 2,817 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (7) | 02/28/2018 | Common Stock | 81,683 | 81,683 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (8) | 02/10/2021 | Common Stock | 41,279 | 41,279 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (8) | 02/10/2021 | Common Stock | 201,721 | 201,721 | D | ||||||||
Restricted Stock Units | (9) | (10) | (10) | Common Stock | 94,666 | 94,666 | D | ||||||||
Restricted Stock Units | (9) | (13) | (13) | Common Stock | 155,000 | 155,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 60,750 | 60,750 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | 11/13/2012 | A | 182,250 | (17) | 02/10/2021 | Common Stock | 182,250 | $ 0 | 182,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fallon Thomas J C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE, CA 94089 |
President and CEO |
/s/ Michael O. McCarthy III, by Power of Attorney | 11/13/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares held directly by the Fallon Family Revocable Trust dated 9/7/94 for which the Reporting Person serves as trustee (the "Fallon Family Trust"). |
(2) | 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 trusts 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 trusts for his minor children for purposes of Section 16 or for any other purpose. |
(3) | The option is fully vested. |
(4) | The option vests and becomes exercisable in forty-eight monthly installments beginning on November 23, 2009. |
(5) | The option vests and becomes exercisable in thirty-six monthly installments beginning on November 23, 2009. |
(6) | The option vests and becomes exercisable in thirty-six monthly installments beginning on February 5, 2010. |
(7) | The option vests and becomes exercisable in forty-eight monthly installments beginning on February 5, 2010. |
(8) | The option vests and becomes exercisable in thirty-six monthly installments beginning on February 10, 2011. |
(9) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock. |
(10) | The RSUs vest in three annual installments beginning on February 5, 2012. |
(11) | Shares held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 for which the Reporting Person serves as trustee. |
(12) | Shares held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 for which the Reporting Person serves as trustee. |
(13) | The RSUs vest in three annual installments beginning on February 5, 2013. |
(14) | Includes 149,328 shares previously held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011 and 149,328 shares previously held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 27, 2012 and are now held directly by the Fallon Family Trust. |
(15) | Excludes 149,328 shares previously held directly by Thomas J. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 27, 2012 and are now held directly by the Fallon Family Trust. |
(16) | Excludes 149,328 shares previously held directly by Shannon F. Fallon, Trustee of Thomas J. Fallon 2011 Annuity Trust A dated August 1, 2011, which were re-registered on August 27, 2012 and are now held directly by the Fallon Family Trust. |
(17) | This includes performance-based stock options granted on February 10, 2011, in which the award criteria was satisfied in the second half of fiscal year 2012 resulting in the vesting of 75% of the total shares underlying the option. The option is fully vested. |