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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fallon Thomas J C/O INFINERA CORPORATION 169 JAVA DRIVE SUNNYVALE, CA 94089 |
Chief Operating Officer |
/s/ Michael O. McCarthy, by power of attorney | 02/10/2009 | |
**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 Thomas J. Fallon 2006 Annuity Trust A dated 6/9/06 for which the reporting person serves as trustee. |
(2) | Shares held directly by the Shannon F. Fallon 2006 Annuity Trust A dated 6/9/06 for which the reporting person serve as trustee. |
(3) | This transaction involves a gift of securities from the Thomas J. Fallon 2006 Annuity Trust A dated 6/9/06 directly to his minor children. The Reporting Person disclaims beneficial ownership of the shares held by his minor children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held by his minor children for purposes of Section 16 or for any other purpose. |
(4) | This transaction involves a gift of securities from the Shannon F. Fallon 2006 Annuity Trust A dated 6/9/2006 for which the Reporting Person serves as trustee, directly to his minor children. The Reporting Person disclaims beneficial ownership of the shares held by his minor children, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares held by his minor children for purposes of Section 16 or for any other purpose. |
(5) | Includes 388,170 shares previously held by Reporting Person which were re-registered on December 26 2008 to the Fallon Family Revocable Trust dated 9/7/94 of which 191,937 shares were re-registered to the Shannon F. Fallon 2008 Annuity Trust A and 191,937 shares were re-registered to the Thomas J. Fallon 2008 Annuity Trust A for which the Reporting Person serves as trustee and are now held indirectly. |
(6) | Shares held directly by the Fallon Family Revocable Trust dated 9/7/04 for which the Reporting Person serves as trustee. |
(7) | Shares held directly by the Shannon F. Fallon 2008 Annuity Trust A for which the Reporting Person serves as trustee. |
(8) | Shares held directly by the Thomas J. Fallon 2008 Annuity Trust A for which the Reporting Person serves as trustee. |
(9) | Excludes 388,170 shares previously held by Reporting Person which were re-registered on December 26, 2008 and are now held indirectly by the Fallon Family Revocable Trust dated 9/7/94. |