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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 | ||||||||
Incentive Stock Option (Right to Buy) | $ 9.02 | (2) | 01/13/2021 | Common Stock | 24,107 | 24,107 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 9.02 | (2) | 01/13/2021 | Common Stock | 893 | 893 | D | ||||||||
Restricted Stock Units | (3) | (4) | (4) | Common Stock | 83,148 | 83,148 | D | ||||||||
Restriced Stock Units | (3) | (5) | (5) | Common Stock | 18,560 | 18,560 | D | ||||||||
Restricted Stock Units | (3) | (6) | (6) | Common Stock | 32,270 | 32,270 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Feller Brad C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE, CA 94089 |
Chief Financial Officer |
/s/ Michael Post, by Power of Attorney | 05/03/2016 | |
**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) | This price represents the weighted average purchase price of the shares purchased in multiple transactions at prices ranging from $11.73 to $11.76 per share. Upon request by the staff of the Securities and Exchange Commission, Infinera Corporation (the "Company") or a security holder of the Company, Mr. Feller will provide full information regarding the number of shares purchased at each separate price. |
(2) | This option vests and becomes exercisable as to 1/4th of the underlying shares on January 13, 2015 and then 1/48th per month thereafter. |
(3) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock. |
(4) | These RSUs vest in four annual installments beginning on February 5, 2015. |
(5) | These RSUs vest in three annual installments beginning on May 5, 2016. |
(6) | These RSUs vest in four annual installments beginning on May 5, 2017. |