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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) | $ 1.32 | (1) | 11/28/2015 | Common Stock | 7,996 | 7,996 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 2 | (1) | 08/08/2016 | Common Stock | 11,805 | 11,805 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.11 | (1) | 02/10/2019 | Common Stock | 45,309 | 45,309 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.45 | (1) | 08/10/2019 | Common Stock | 51,040 | 51,040 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.19 | (1) | 11/23/2016 | Common Stock | 56,250 | 56,250 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (1) | 06/06/2017 | Common Stock | 25,642 | 25,642 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (1) | 06/06/2017 | Common Stock | 29,355 | 29,355 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (2) | 02/28/2018 | Common Stock | 2,886 | 2,886 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.61 | (2) | 02/28/2018 | Common Stock | 59,780 | 59,780 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (1) | 02/10/2021 | Common Stock | 16,250 | 16,250 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (1) | 02/10/2021 | Common Stock | 48,750 | 48,750 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 38,577 | 38,577 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.58 | (3) | 02/10/2021 | Common Stock | 26,423 | 26,423 | D | ||||||||
Restricted Stock Units | (4) | (5) | (5) | Common Stock | 11,000 | 11,000 | D | ||||||||
Restricted Stock Units | (4) | (6) | (6) | Common Stock | 42,666 | 42,666 | D | ||||||||
Restricted Stock Units | (4) | (7) | (7) | Common Stock | 47,500 | 47,500 | D | ||||||||
Restricted Stock Units | (4) | (8) | (8) | Common Stock | 42,000 | 42,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCARTHY MICHAEL O III C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE, CA 94089 |
Chief Legal & Admin Officer |
/s/ Michael O. McCarthy III | 03/08/2013 | |
**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) | The option is fully vested. |
(2) | The option vests and becomes exercisable in forty-eight monthly installments beginning on February 5, 2010. |
(3) | The option vests and becomes exercisable in thirty-six monthly installments beginning on February 10, 2011. |
(4) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock. |
(5) | The RSUs vest in three annual installments beginning on February 5, 2012. |
(6) | The RSUs vest in three annual installments beginning on February 5, 2013. |
(7) | The RSUs vest as to 100% on December 31, 2014. |
(8) | The RSUs vest in three annual installments beginning on February 5, 2014. |
(9) | This includes performance-based RSUs granted in 2012 in which the award criteria was satisfied in 2013. |
(10) | This includes 3,000 shares acquired under the Company's 2007 Employee Stock Purchase Plan on February 15, 2013. |