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 |
|---|---|---|---|---|---|---|
| May 03, 2021 Filed May 3, 2021 20:51 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Tax withholdingCommon Stock | 9,400 | $17.53 | $164,782.00 |
DisclosureSEC source: 0001437749-21-010634 · rdgdoc.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,537 F1 · price: Average sale price. Shares sold at prices between $17.53 and $17.54. Read SEC document |
| May 03, 2021 Filed May 3, 2021 20:51 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Exercise / conversionCommon Stock | 10,000 | $16.34 | $163,400.00 |
DisclosureSEC source: 0001437749-21-010634 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,937 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. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 20:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | SaleCommon Stock | 15,000 | $16.56 | $248,400.00 |
DisclosureSEC source: 0001437749-21-006173 · rdgdoc.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,937 F2 · price: Average sale price. Shares sold at prices between $16.55 and $16.59. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 20:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | Exercise / conversionCommon Stock | 15,000 | $11.44 | $171,600.00 |
DisclosureSEC source: 0001437749-21-006173 · rdgdoc.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,937 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. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 20:23 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 90 | $16.60 | $1,494.00 |
DisclosureSEC source: 0001437749-21-006173 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,937 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 17:27 UTC | Infinera Corp INFN · Entity 82602 | SaleCommon Stock | 35,065 | $9.82 | $344,166.48 |
DisclosureSEC source: 0001138639-21-000061 · wf-form4_161593004845126.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,670,113 F1 · price: This price represents the weighted average sale price of the shares sold in multiple transactions at prices ranging from $9.81 to $9.835 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 |
| March 01, 2021 Filed Mar 3, 2021 19:42 UTC | Infinera Corp INFN · Entity 82602 | SaleCommon Stock | 64,935 | $10.00 | $649,350.00 |
DisclosureSEC source: 0001138639-21-000028 · wf-form4_161481855026078.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,705,178 F1 · acquired: This price represents the sale price of the shares sold in multiple transactions, each at a price of $10.00 per share 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 |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 220,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · derivative · entry 9 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 220,000 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"). F5 · derivative.exercise_date: These RSUs were scheduled to vest as to one-third of the shares on the one-year anniversary of the vesting commencement date, which is March 5, 2020, and 1/12th quarterly thereafter, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. These RSUs vested in full on February 9, 2021 pursuant to the terms of a Transition Agreement entered into by Mr. Fallon and the Company as part of his transition from CEO to an advisor to the Company in November 2020. F5 · derivative.expiration_date: These RSUs were scheduled to vest as to one-third of the shares on the one-year anniversary of the vesting commencement date, which is March 5, 2020, and 1/12th quarterly thereafter, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. These RSUs vested in full on February 9, 2021 pursuant to the terms of a Transition Agreement entered into by Mr. Fallon and the Company as part of his transition from CEO to an advisor to the Company in November 2020. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 67,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · derivative · entry 8 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 67,708 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"). F4 · derivative.exercise_date: These RSUs were scheduled to vest in four annual installments beginning on May 5, 2019, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. These RSUs vested in full on February 9, 2021 pursuant to the terms of a Transition Agreement entered into by Mr. Fallon and the Company as part of his transition from CEO to an advisor to the Company in November 2020. F4 · derivative.expiration_date: These RSUs were scheduled to vest in four annual installments beginning on May 5, 2019, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. These RSUs vested in full on February 9, 2021 pursuant to the terms of a Transition Agreement entered into by Mr. Fallon and the Company as part of his transition from CEO to an advisor to the Company in November 2020. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 28,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · derivative · entry 7 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,707 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: These RSUs were scheduled to vest in four annual installments beginning on May 5, 2018, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. These RSUs vested in full on February 9, 2021 pursuant to the terms of a Transition Agreement entered into by Mr. Fallon and the Company as part of his transition from CEO to an advisor to the Company in November 2020. F3 · derivative.expiration_date: These RSUs were scheduled to vest in four annual installments beginning on May 5, 2018, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. These RSUs vested in full on February 9, 2021 pursuant to the terms of a Transition Agreement entered into by Mr. Fallon and the Company as part of his transition from CEO to an advisor to the Company in November 2020. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 104,675 | $10.47 | $1,095,947.25 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · nonDerivative · entry 6 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,770,113 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 |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 220,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · nonDerivative · entry 5 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,874,788 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 |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 28,492 | $10.47 | $298,311.24 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · nonDerivative · entry 4 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,654,788 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 |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 67,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,683,280 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 |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 10,517 | $10.47 | $110,112.99 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,615,572 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 |
| February 09, 2021 Filed Feb 11, 2021 18:37 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 28,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000007 · wf-form4_161308664857686.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,626,089 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 |
| January 14, 2021 Filed Mar 11, 2021 18:50 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 64,485 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-21-000048 · wf-form4_161550663081431.xml · derivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,485 Underlying: Common Stock · 64,485 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F2 · 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 are 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. As a result, 64,485 shares of common stock underlying this award will vest on May 5, 2021, subject to Mr. Fallon's continued service to the Company through such date. F2 · 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 are 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. As a result, 64,485 shares of common stock underlying this award will vest on May 5, 2021, subject to Mr. Fallon's continued service to the Company through such date. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 182,250 | $0.00 Strike: $8.58 | $0.00 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · derivative · entry 12 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 182,250 shares Expires 2021-02-10 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. F6 · derivative.exercise_date: This option is fully vested and exercisable as of the date of the hereof. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,475 | $0.00 Strike: $8.58 | $0.00 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · derivative · entry 11 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,475 shares Expires 2021-02-10 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. F6 · derivative.exercise_date: This option is fully vested and exercisable as of the date of the hereof. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 32,965 | $0.00 Strike: $8.58 | $0.00 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · derivative · entry 10 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 32,965 shares Expires 2021-02-10 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. F6 · derivative.exercise_date: This option is fully vested and exercisable as of the date of the hereof. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 14,286 | $0.00 Strike: $8.58 | $0.00 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · derivative · entry 9 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,286 shares Expires 2021-02-10 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. F6 · derivative.exercise_date: This option is fully vested and exercisable as of the date of the hereof. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 180,156 | $8.78 | $1,581,769.68 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 8 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,597,382 F5 · shares: In connection with Mr. Fallon's exercise of the stock option for 182,250 shares, reflects 178,098 shares of Company common stock previously held by Mr. Fallon that were used to pay the exercise price and 2,058 shares retained by the Company to satisfy tax withholding requirements. 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 182,250 | $8.58 | $1,563,705.00 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 7 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,777,538 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 30,124 | $8.78 | $264,488.72 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 6 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,595,288 F4 · shares: In connection with Mr. Fallon's exercise of the stock option for 30,475 shares, reflects 29,780 shares of Company common stock previously held by Mr. Fallon that were used to pay the exercise price and 344 shares retained by the Company to satisfy tax withholding requirements. 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 30,475 | $8.58 | $261,475.50 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 5 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,625,412 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 32,586 | $8.78 | $286,105.08 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 4 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,594,937 F3 · shares: In connection with Mr. Fallon's exercise of the stock option for 32,965 shares, reflects 32,214 shares of Company common stock previously held by Mr. Fallon that were used to pay the exercise price and 372 shares retained by the Company to satisfy tax withholding requirements. 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 32,965 | $8.58 | $282,839.70 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,627,523 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 13,960 | $8.78 | $122,568.80 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,594,558 F2 · shares: In connection with Mr. Fallon's exercise of the stock option for 14,286 shares, reflects 13,960 shares of Infinera Corporation ("Company") common stock previously held by Mr. Fallon that were used to pay the exercise price. 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 |
| December 04, 2020 Filed Dec 8, 2020 19:05 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 14,286 | $8.58 | $122,573.88 |
DisclosureSEC source: 0001138639-20-000171 · wf-form4_160747231933820.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,608,518 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 |
| December 04, 2020 Filed Dec 23, 2020 19:10 UTC Amendment | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 14,286 | $8.58 | $122,573.88 |
DisclosureSEC source: 0001138639-20-000190 · wf-form4a_160876859435910.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,608,518 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 · security: This amendment is being filed solely to include a power of attorney as Exhibit 24. 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 |
| November 16, 2020 Filed Nov 18, 2020 22:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 111 | $11.49 | $1,275.39 |
DisclosureSEC source: 0001437749-20-024168 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,847 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 06, 2020 Filed Nov 10, 2020 21:16 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 4,379 | $11.40 | $49,920.60 |
DisclosureSEC source: 0001437749-20-023376 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,736 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 |
| July 17, 2020 Filed Aug 19, 2020 21:06 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 100 | $11.93 | $1,193.00 |
DisclosureSEC source: 0001437749-20-018360 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,354 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 21, 2020 Filed May 26, 2020 20:11 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 116 | $10.33 | $1,198.28 |
DisclosureSEC source: 0001437749-20-011733 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,254 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 58,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · derivative · entry 20 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 58,032 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. F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F10 · 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 are 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 second performance period, as determined by the compensation committee per the terms of the original grant. As a result, 58,032 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Fallon's continuous status as a service provider through such date. F10 · 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 are 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 second performance period, as determined by the compensation committee per the terms of the original grant. As a result, 58,032 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Fallon's continuous status as a service provider through such date. Read SEC document |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 30,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · derivative · entry 19 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,217 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. F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F9 · derivative.exercise_date: On February 21, 2017, Mr. Fallon was granted a PSU award for a target number of 172,247 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 are eligible to vest based on the total stockholder return ("TSR") performance of the Company in each performance period relative to that of the companies that comprise S&P North American Technology Multimedia Networking Index (the "S&P Networking Index"). The performance objective related to this award was partially achieved for the third and final performance period, as determined by the compensation committee per the terms of the original grant. As a result, 30,217 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Fallon's continuous status as a service provider through such date. F9 · derivative.expiration_date: On February 21, 2017, Mr. Fallon was granted a PSU award for a target number of 172,247 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 are eligible to vest based on the total stockholder return ("TSR") performance of the Company in each performance period relative to that of the companies that comprise S&P North American Technology Multimedia Networking Index (the "S&P Networking Index"). The performance objective related to this award was partially achieved for the third and final performance period, as determined by the compensation committee per the terms of the original grant. As a result, 30,217 shares of common stock underlying this award vested on May 5, 2020, subject to Mr. Fallon's continuous status as a service provider through such date. Read SEC document |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 33,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · derivative · entry 17 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,708 Underlying: Common Stock · 33,854 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. F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F6 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2019, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. F6 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2019, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. Read SEC document |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · derivative · entry 16 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,707 Underlying: Common Stock · 28,708 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. F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F5 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2018, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. F5 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. Read SEC document |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 21,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · derivative · entry 15 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,712 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. F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of Infinera Corporation (the "Company"). F4 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. F4 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017, subject to Mr. Fallon's continued service to the Company through each applicable vesting date. Read SEC document |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 20,951 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 10 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,594,232 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, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 58,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 9 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,615,183 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 |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 11,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 8 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,557,151 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, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 33,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 7 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,568,858 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 |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 10,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 6 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,535,004 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, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 30,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 5 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,545,454 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 |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 9,928 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 4 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,515,237 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, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 3 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,525,165 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 |
| May 05, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 7,501 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,496,457 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, 2020 Filed May 7, 2020 18:30 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 21,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000054 · wf-form4_158889063865449.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,503,958 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 |
| March 09, 2020 Filed Mar 11, 2020 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 106 | $14.08 | $1,492.48 |
DisclosureSEC source: 0001437749-20-004800 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,138 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. 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.