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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 | ||||||||
Restricted Stock Units | (2) | (3) | (3) | Common Stock | 9,100 | 9,100 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 7.25 | (4) | 05/18/2021 | Common Stock | 17,600 | 17,600 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 7.55 | (5) | 05/19/2020 | Common Stock | 14,500 | 14,500 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 7.45 | (6) | 08/10/2019 | Common Stock | 100,000 | 100,000 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 13.16 | (7) | 05/13/2018 | Common Stock | 12,500 | 12,500 | D | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 13 | (8) | 06/06/2017 | Common Stock | 12,500 | 12,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
REDFIELD CARL C/O INFINERA CORPORATION 140 CASPIAN COURT SUNNYVALE, CA 94089 |
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/s/ Michael O. McCarthy III, by Power of Attorney | 01/03/2012 | |
**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 Carl Redfield Trust 2000 dated 10/18/00 for which the Reporting Person serves as trustee. |
(2) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of INFN common stock. |
(3) | The RSUs fully vest on May 18, 2012. |
(4) | The option fully vests on May 18, 2012. |
(5) | The option fully vested on May 19, 2011. |
(6) | The option fully vested on August 10, 2011. |
(7) | The option fully vested on May 13, 2009. |
(8) | The option fully vested on June 6, 2011. |
(9) | This includes performance-based RSUs granted in 2009 in which the award criteria was satisfied in 2011. |