|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 0.76 | 03/03/2008 | M | 364 | (1) | 02/02/2015 | Common Stock | 364 | $ 0 | 3,286 (2) | D | ||||
Employee Stock Option (Right to Buy) | $ 1.32 | 03/03/2008 | M | 1,368 | (3) | 11/28/2015 | Common Stock | 1,368 | $ 0 | 23,265 (2) | D | ||||
Employee Stock Option (Right to Buy) | $ 2 | 03/03/2008 | M | 1,301 | (4) | 08/08/2016 | Common Stock | 1,301 | $ 0 | 36,467 (2) | D | ||||
Employee Stock Option (Right to Buy) | $ 2.24 | 03/03/2008 | M | 312 | (5) | 07/06/2014 | Common Stock | 312 | $ 0 | 941 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chandler Scott A C/O INFINERA CORPORATION 169 JAVA DRIVE SUNNYVALE, CA 94089 |
VP, Worldwide Sales |
/s/ Michael O. McCarthy, by power of attorney | 11/05/2008 | |
**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 subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on December 18, 2004 and one forty-eighth of the shares shall vest monthly thereafter. |
(2) | This report on Form 4/A amends the Form 4 filed by the Reporting Person on March 3, 2008. The previously filed Form 4 incorrectly reported the number of derivative securities benefically owned following reported transaction(s) in Table II. The number of derivative securities benefically owned following the reported transaction(s) reflected on subsequent Forms 4 filed from 2/28/2008 through 10/1/2008 should be deemed adjusted accordingly. |
(3) | The option is subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on August 26, 2005 and one forty-eighth of the shares shall vest monthly thereafter. |
(4) | The option is subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on July 29, 2006 and one forty-eighth of the shares shall vest monthly thereafter. |
(5) | The option is subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on June 27, 2004 and one forty-eighth of the shares shall vest monthly thereafter. |