Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Hercules Capital, Inc.HTGC · Entity 4164 | Director | March 26, 2026 | March 30, 2026 |
| Infinera CorpINFN · Entity 82602 | Director | June 03, 2021 | June 04, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Hercules Capital, Inc.
Report date March 26, 2026 · Filed March 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 157,669 |
Reported balance
After 2026-03-26 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-03-26 · Purchase · Acquired 7,300 · Balance 157,669 F1: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2: Held by the Fallon Family Revocable Trust. |
| Common StockSEC Table I · non-derivative | Direct | 5,959 |
Reported balance
Holding disclosure · report date 2026-03-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,959 F3: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer.
F2: Held by the Fallon Family Revocable Trust.
F3: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11.
Infinera Corp
Report date June 03, 2021 · Filed June 04, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,530,062 |
Reported balance
After 2021-06-03 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-06-03 · Sale · Disposed 172,564 · Balance 1,530,062 F1: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $10.10 to $10.18 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. Fallon will provide full information regarding the number of shares sold at each separate price. F2: These shares are held directly by the Fallon Family Revocable Trust, dated 9/7/94, for which Mr. Fallon is a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $10.10 to $10.18 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. Fallon will provide full information regarding the number of shares sold at each separate price.
F2: These shares are held directly by the Fallon Family Revocable Trust, dated 9/7/94, for which Mr. Fallon is a trustee.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 26, 2026 Filed Mar 30, 2026 23:45 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 7,300 | $14.30 | $104,390.00 |
DisclosureSEC source: 0001399121-26-000004 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 157,669 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2 · ownership.nature: Held by the Fallon Family Revocable Trust. Read SEC document |
| February 27, 2026 Filed Feb 27, 2026 21:33 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 20,000 | $14.20 | $284,000.00 |
DisclosureSEC source: 0001399121-26-000003 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 150,369 F1 · price: Average purchase price. Shares purchased at prices between $14.16 and $14.22. F2 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| February 24, 2026 Filed Feb 25, 2026 21:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 10,000 | $14.98 | $149,800.00 |
DisclosureSEC source: 0001399121-26-000002 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 130,369 F1 · balance_after: The number of shares includes shares acquired pursuant to the Hercules Capital, Inc. dividend reinvestment plan, exempt under Rule 16a-11. F2 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| February 17, 2026 Filed Feb 19, 2026 16:12 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 20,000 | $15.88 | $317,600.00 |
DisclosureSEC source: 0001399121-26-000001 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 120,369 F1 · price: Average purchase price. Shares purchased at prices between $15.81 and $15.92. F2 · balance_after: Includes 151, 172 and 154 dividend reinvestment shares acquired on May 20, 2025, August 19, 2025 and November 19, 2025, respectively. F3 · ownership.nature: Held by the Fallon Family Revocable Trust. Read SEC document |
| May 08, 2025 Filed May 9, 2025 20:20 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 5,976 | $17.53 | $104,759.28 |
DisclosureSEC source: 0001562180-25-003689 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 98,882 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F2 · price: Average purchase price. Shares purchased at prices between $17.46 and $17.67. F3 · balance_after: Includes 182, 170 and 154 dividend reinvestment shares acquired on August 20, 2024, November 20, 2024 and March 5, 2025 respectively. F4 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| August 06, 2024 Filed Aug 8, 2024 22:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 5,723 | $18.33 | $104,884.85 |
DisclosureSEC source: 0001562180-24-006118 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 92,400 F2 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. F3 · price: Average purchase price. Shares purchased at prices between $18.3269 and $18.3280. F4 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| August 06, 2024 Filed Aug 8, 2024 22:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,158 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-006118 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 86,677 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| August 06, 2024 Filed Aug 8, 2024 22:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 1,158 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-006118 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,789 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| June 20, 2024 Filed Jun 24, 2024 21:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 149 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-005253 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 85,519 F2 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. F3 · balance_after: Includes 132 and 125 dividend reinvestment shares acquired on March 6, 2024 and May 21, 2024, respectively. F4 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| June 20, 2024 Filed Jun 24, 2024 21:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 149 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-24-005253 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,947 F2 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| June 20, 2024 Filed Jun 24, 2024 21:02 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,030 | $19.80 | $59,994.00 |
DisclosureSEC source: 0001562180-24-005253 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,096 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 01:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 5,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-007949 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 85,113 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 01:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 149 | $15.87 | $2,364.63 |
DisclosureSEC source: 0001562180-23-007949 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,066 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 22, 2023 Filed Nov 28, 2023 01:05 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 5,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-007949 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,917 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| September 08, 2023 Filed Sep 11, 2023 21:15 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 5,656 | $15.90 | $89,930.40 |
DisclosureSEC source: 0001562180-23-006817 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,717 F1 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 21:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 1,377 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-006583 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 79,313 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 21:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 144 | $16.41 | $2,363.04 |
DisclosureSEC source: 0001562180-23-006583 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,061 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 21:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 1,377 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-006583 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,917 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 186 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-004483 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Trust Disclosed balance after: 77,936 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 218 | $13.09 | $2,853.62 |
DisclosureSEC source: 0001562180-23-004483 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,294 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 23, 2023 Filed May 25, 2023 20:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 186 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-004483 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,076 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned Read SEC document |
| March 10, 2023 Filed Mar 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 10,000 | $12.75 | $127,500.00 |
DisclosureSEC source: 0001562180-23-002716 · primarydocument.xml · nonDerivative · entry 4 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 77,750 F4 · price: Average sale price. Shares sold at prices between $12.74 and $12.76. F5 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 220 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-002716 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 67,751 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 187 | $15.32 | $2,864.84 |
DisclosureSEC source: 0001562180-23-002716 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,262 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 220 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-002716 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,075 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 202 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-007795 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 67,531 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. F4 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was overstated by 1 share. F5 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 220 | $14.06 | $3,093.20 |
DisclosureSEC source: 0001562180-22-007795 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,295 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F3 · balance_after: Due to administrative rounding, the number of shares of common stock beneficially owned by the reporting person was understated by 1 share. Read SEC document |
| November 17, 2022 Filed Nov 21, 2022 21:08 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 202 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-007795 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,074 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 5,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-006211 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 67,330 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 202 | $15.13 | $3,056.26 |
DisclosureSEC source: 0001562180-22-006211 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,276 F2 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 16, 2022 Filed Aug 18, 2022 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 5,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-006211 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,074 F1 · shares: Shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-005784 · primarydocument.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 61,834 F1 · shares: 230 shares previously reported as directly owned are now being reported as indirectly owned. F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,339 | $16.13 | $69,995.88 |
DisclosureSEC source: 0001562180-22-005784 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,570 F2 · shares: Shares purchased based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| August 01, 2022 Filed Aug 1, 2022 20:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 230 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-005784 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,231 F1 · shares: 230 shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| May 24, 2022 Filed May 26, 2022 21:26 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 230 | $15.06 | $3,463.80 |
DisclosureSEC source: 0001562180-22-004457 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,461 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 12, 2022 Filed May 13, 2022 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | PurchaseCommon Stock | 10,000 | $14.88 | $148,800.00 |
DisclosureSEC source: 0001562180-22-004018 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 61,604 F2 · price: Average sale price. Shares sold at prices between $14.88 and $14.89. F1 · balance_after: 51,604 shares previously reported as directly owned are now being reported as indirectly owned. F3 · ownership.nature: Held by the Fallon Family Revocable Trust Read SEC document |
| May 12, 2022 Filed May 13, 2022 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Disposition to issuerCommon Stock | 7,231 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-004018 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,231 F1 · balance_after: 51,604 shares previously reported as directly owned are now being reported as indirectly owned. Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 205 | $16.99 | $3,482.95 |
DisclosureSEC source: 0001562180-22-002794 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,835 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| December 22, 2021 Filed Dec 27, 2021 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 94 | $17.33 | $1,629.02 |
DisclosureSEC source: 0001562180-21-007877 · primarydocument.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,630 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| December 22, 2021 Filed Dec 27, 2021 21:21 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 91 | $17.15 | $1,560.65 |
DisclosureSEC source: 0001562180-21-007877 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,536 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 17, 2021 Filed Nov 19, 2021 21:54 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 166 | $17.33 | $2,876.78 |
DisclosureSEC source: 0001562180-21-007183 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,445 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 20:49 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 165 | $16.98 | $2,801.70 |
DisclosureSEC source: 0001562180-21-005456 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,279 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 02, 2021 Filed Aug 2, 2021 21:44 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,013 | $17.44 | $69,986.72 |
DisclosureSEC source: 0001562180-21-005105 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,114 F1 · shares: Shares issued based on reporting person's election to receive stock in lieu of cash compensation fee otherwise due to reporting person as a director of the Issuer. Read SEC document |
| June 24, 2021 Filed Jun 28, 2021 20:03 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,472 | $17.28 | $59,996.16 |
DisclosureSEC source: 0001562180-21-004514 · primarydocument.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,101 F1 · shares: Restricted Stock issued as an automatic grant upon re-election to the board of directors pursuant to the 2018 Non-Employee Director Plan and subject to forfeiture restrictions. One-third vests on the anniversary of the grant over three years. Read SEC document |
| June 03, 2021 Filed Jun 4, 2021 19:42 UTC | Infinera Corp INFN · Entity 82602 | SaleCommon Stock | 172,564 | $10.12 | $1,746,641.04 |
DisclosureSEC source: 0001138639-21-000120 · wf-form4_162285013754356.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,530,062 F1 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $10.10 to $10.18 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. Fallon will provide full information regarding the number of shares sold at each separate price. F2 · ownership.nature: These shares are held directly by the Fallon Family Revocable Trust, dated 9/7/94, for which Mr. Fallon is a trustee. Read SEC document |
| May 21, 2021 Filed May 25, 2021 21:15 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 18,211 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000101 · wf-form4_162199169297835.xml · derivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,211 Underlying: Common Stock · 18,211 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F3 · derivative.exercise_date: These RSUs have a vesting commencement date of May 21, 2021 and vest on the earlier of the date of the next annual meeting of stockholders or the one-year anniversary of the date of grant, subject to Mr. Fallon's continued service to the Company. F3 · derivative.expiration_date: These RSUs have a vesting commencement date of May 21, 2021 and vest on the earlier of the date of the next annual meeting of stockholders or the one-year anniversary of the date of grant, subject to Mr. Fallon's continued service to the Company. Read SEC document |
| May 19, 2021 Filed May 21, 2021 21:20 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 92 | $15.98 | $1,470.16 |
DisclosureSEC source: 0001437749-21-013066 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,629 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 05, 2021 Filed May 7, 2021 19:03 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 64,485 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000081 · wf-form4_162042861945010.xml · derivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 64,485 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F3 · derivative.exercise_date: On February 15, 2018, Mr. Fallon was granted a PSU award for a target number of 203,125 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares were eligible to vest based on the TSR performance of the Company in each performance period relative to that of the companies that comprise the S&P Networking Index. The performance objective related to this award was partially achieved for the third performance period, as determined by the Company's Compensation Committee per the terms of the original grant, resulting in an RSU award of 64,485 shares that was subject to time-based vesting. This time-based vesting was satisfied on May 5, 2021. F3 · derivative.expiration_date: On February 15, 2018, Mr. Fallon was granted a PSU award for a target number of 203,125 shares of common stock that could become eligible to vest in three equal separate installments, subject to the achievement of certain performance criteria in each of the three different performance periods. The shares were eligible to vest based on the TSR performance of the Company in each performance period relative to that of the companies that comprise the S&P Networking Index. The performance objective related to this award was partially achieved for the third performance period, as determined by the Company's Compensation Committee per the terms of the original grant, resulting in an RSU award of 64,485 shares that was subject to time-based vesting. This time-based vesting was satisfied on May 5, 2021. Read SEC document |
| May 05, 2021 Filed May 7, 2021 19:03 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 31,972 | $8.58 | $274,319.76 |
DisclosureSEC source: 0001138639-21-000081 · wf-form4_162042861945010.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,702,626 F1 · ownership.nature: These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee. Read SEC document |
| May 05, 2021 Filed May 7, 2021 19:03 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 64,485 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000081 · wf-form4_162042861945010.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,734,598 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: These shares are held directly by The Fallon Family Revocable Trust dated 9/7/94, for which Mr. Fallon is a trustee. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.