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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 | |
Welch David F C/O INFINERA CORPORATION 169 JAVA DRIVE SUNNYVALE, CA 94089 |
Chief Mktg & Strategy Officer |
/s/ by Michael O. McCarthy, by power of attorney | 02/09/2009 | |
**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) | This transaction involves a gift of securities from a non-Section 16 reporting person directly to the Reporting Person's 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 benefical owner of the shares held by his minor children for purposes of Section 16 or for any other purpose. |
(2) | Excludes 309,145 shares previously held by the Reporting Person which were re-registered on December 23, 2008 to the Welch Family Trust Dtd 4/3/1996 and are now held indirectly. |
(3) | Includes 309,145 shares previously held by the Reporting Person which were re-registered on December 23, 2008 to the Welch Family Trust Dtd 4/3/1996 and are now held indirectly. |
(4) | Shares held directly by the Welch Family Trust Dtd 4/3/1996 for which the Reporting Person serves as trustee. |
(5) | Shares held directly by SEI Private Company, Trustee of the Welch Family Hertiage Trust I u/1 dated 9/24/01. |
(6) | Shares held directly by Welch Group, L.P. of which the Reporting Person is the general partner. |
(7) | Shares held directly by LRFA, LLC of which the Reporting Person is the sole managing member. |