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 04, 2020 Filed Mar 6, 2020 21:31 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 220,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000039 · wf-form4_158354828099178.xml · derivative · entry 12 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,000 Underlying: Common Stock · 220,000 shares Expires not disclosed 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"). F11 · derivative.exercise_date: These RSUs 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. F11 · derivative.expiration_date: These RSUs 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. Read SEC document |
| February 07, 2020 Filed Feb 11, 2020 19:33 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 58,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000017 · wf-form4_158146759094962.xml · derivative · entry 11 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,032 Underlying: Common Stock · 58,032 shares Expires not disclosed 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 will vest 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 will vest on May 5, 2020, subject to Mr. Fallon's continuous status as a service provider through such date. Read SEC document |
| February 07, 2020 Filed Feb 11, 2020 19:33 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 30,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-20-000017 · wf-form4_158146759094962.xml · derivative · entry 10 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,217 Underlying: Common Stock · 30,217 shares Expires not disclosed 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 will vest 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 will vest on May 5, 2020, subject to Mr. Fallon's continuous status as a service provider through such date. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:09 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 94 | $13.91 | $1,307.54 |
DisclosureSEC source: 0001437749-19-023288 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,032 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| September 26, 2019 Filed Sep 30, 2019 20:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,759 | $13.30 | $49,994.70 |
DisclosureSEC source: 0001437749-19-019260 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,938 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 |
| August 19, 2019 Filed Aug 20, 2019 20:14 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 117 | $12.74 | $1,490.58 |
DisclosureSEC source: 0001437749-19-017185 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,179 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 20, 2019 Filed May 22, 2019 20:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 107 | $13.13 | $1,404.91 |
DisclosureSEC source: 0001437749-19-010697 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,062 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 15, 2019 Filed May 15, 2019 16:21 UTC | Infinera Corp INFN · Entity 82602 | PurchaseCommon Stock | 50,000 | $3.32 | $165,915.00 |
DisclosureSEC source: 0001138639-19-000053 · wf-form4_155795168064881.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: 1,482,246 F1 · price: This price represents the weighted average purchase price of the shares bought in multiple transactions at prices ranging from $3.235 to $3.36 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 purchased 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 05, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 33,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.xml · derivative · entry 14 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,562 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 Infinera Corporation (the "Company") common stock. F6 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2019. F6 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2019. Read SEC document |
| May 05, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.xml · derivative · entry 13 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,415 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 Infinera Corporation (the "Company") common stock. F5 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2018. F5 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018. Read SEC document |
| May 05, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 21,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.xml · derivative · entry 12 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,712 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 Infinera Corporation (the "Company") common stock. F4 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017. F4 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017. Read SEC document |
| May 05, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 11,707 | $4.43 | $51,862.01 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.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: 1,432,246 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, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 33,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.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: 1,443,953 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, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 9,928 | $4.43 | $43,981.04 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.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: 1,410,099 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, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.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: 1,420,027 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, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 7,468 | $4.43 | $33,083.24 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.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: 1,391,319 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, 2019 Filed May 6, 2019 18:07 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 21,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000039 · wf-form4_155718043396029.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: 1,398,787 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 28, 2019 Filed Apr 1, 2019 18:26 UTC | Infinera Corp INFN · Entity 82602 | GrantPerformance Stock Units · Derivative | 162,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-19-000022 · wf-form4_155415755606189.xml · derivative · entry 10 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,500 Underlying: Common Stock · 162,500 shares Expires not disclosed F7 · derivative.exercise_price: Each performance stock unit ("PSU") represents a contingent right to receive one share of common stock of the Company. F8 · derivative.exercise_date: These PSUs become eligible to vest, if at all, within three years of the grant date if the closing price of the Company's common stock is equal to or greater than $10.00 per share for 90 consecutive days. If the performance target is met prior to the expiration of the three-year term, a pro-rata portion of the PSUs will vest on the 5th of the month after the certification date and the remaining portion will vest on the 5th of the month after the end of the three-year term, subject to Mr. Fallon remaining a service provider through each such date. For example, if the performance target is met in the eighteenth month after the date of grant then half the shares will be eligible to vest, and the remaining half will vest after the expiration of the term. F8 · derivative.expiration_date: These PSUs become eligible to vest, if at all, within three years of the grant date if the closing price of the Company's common stock is equal to or greater than $10.00 per share for 90 consecutive days. If the performance target is met prior to the expiration of the three-year term, a pro-rata portion of the PSUs will vest on the 5th of the month after the certification date and the remaining portion will vest on the 5th of the month after the end of the three-year term, subject to Mr. Fallon remaining a service provider through each such date. For example, if the performance target is met in the eighteenth month after the date of grant then half the shares will be eligible to vest, and the remaining half will vest after the expiration of the term. Read SEC document |
| March 11, 2019 Filed Mar 13, 2019 20:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 96 | $13.47 | $1,293.12 |
DisclosureSEC source: 0001437749-19-004791 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,955 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 19, 2018 Filed Dec 10, 2018 21:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 234 | $12.28 | $2,873.52 |
DisclosureSEC source: 0001437749-18-021830 · rdgdoc.xml · nonDerivative · entry 2 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,859 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 09, 2018 Filed Nov 9, 2018 15:39 UTC | Infinera Corp INFN · Entity 82602 | PurchaseCommon Stock | 50,000 | $4.63 | $231,605.00 |
DisclosureSEC source: 0001138639-18-000102 · wf-form4_154179595963025.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: 1,377,075 F1 · price: This price represents the weighted average purchase price of the shares bought in multiple transactions at prices ranging from $4.62 to $4.64 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 purchased 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 |
| September 17, 2018 Filed Sep 19, 2018 20:53 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,802 | $13.15 | $49,996.30 |
DisclosureSEC source: 0001437749-18-017211 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,514 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 |
| August 20, 2018 Filed Dec 10, 2018 21:24 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 111 | $13.42 | $1,489.62 |
DisclosureSEC source: 0001437749-18-021830 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,625 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| July 11, 2018 Filed Jul 12, 2018 17:50 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon | 4,754 | $12.98 | $61,706.92 |
DisclosureSEC source: 0001437749-18-013249 · rdgdoc.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,712 F1 · shares: Shares issued as compensation for reporting person's service to the board of directors. Read SEC document |
| May 21, 2018 Filed May 23, 2018 20:18 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 42 | $12.40 | $520.80 |
DisclosureSEC source: 0001593968-18-000819 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,958 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.xml · derivative · entry 14 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,123 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 Infinera Corporation common stock. F6 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2018. F6 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 21,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.xml · derivative · entry 13 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,424 Underlying: Common Stock · 21,713 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 Infinera Corporation common stock. F5 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017. F5 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 18,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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 · 18,413 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 Infinera Corporation common stock. F4 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2016. F4 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2016. Read SEC document |
| May 05, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 9,928 | $12.01 | $119,235.28 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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: 1,327,075 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, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 28,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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: 1,337,003 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, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 7,509 | $12.01 | $90,183.09 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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: 1,308,295 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, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 21,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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: 1,315,804 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, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 6,353 | $12.01 | $76,299.53 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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: 1,294,091 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, 2018 Filed May 8, 2018 16:34 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 18,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000049 · wf-form4_152581164747560.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: 1,300,444 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 12, 2018 Filed Mar 14, 2018 20:31 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 42 | $12.27 | $515.34 |
DisclosureSEC source: 0001593968-18-000554 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,916 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 18:05 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 135,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-18-000022 · wf-form4_151916790692641.xml · derivative · entry 10 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,416 Underlying: Common Stock · 135,416 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Infinera Corporation common stock. F7 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2019. F7 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2019. Read SEC document |
| November 20, 2017 Filed Nov 22, 2017 22:35 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 38 | $13.44 | $510.72 |
DisclosureSEC source: 0001593968-17-001269 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,874 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| November 13, 2017 Filed Nov 13, 2017 14:31 UTC | Infinera Corp INFN · Entity 82602 | PurchaseCommon Stock | 100,000 | $6.33 | $633,130.00 |
DisclosureSEC source: 0001138639-17-000085 · wf-form4_151060144784393.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: 1,282,031 F1 · price: This price represents the weighted average purchase price of the shares bought in multiple transactions at prices ranging from $6.30 to $6.37 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 purchased at each separate price. F2 · balance_after: This includes 2,127 shares acquired under the Company's 2007 Employee Stock Purchase Plan on August 15, 2017. F3 · 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 |
| August 21, 2017 Filed Aug 22, 2017 20:07 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 40 | $12.92 | $516.80 |
DisclosureSEC source: 0001593968-17-001016 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,836 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 22:43 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,903 | $12.81 | $49,997.43 |
DisclosureSEC source: 0001593968-17-001001 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,796 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 |
| May 22, 2017 Filed May 24, 2017 20:17 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 78 | $13.31 | $1,038.18 |
DisclosureSEC source: 0001593968-17-000717 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,893 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| May 05, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 21,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.xml · derivative · entry 14 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,137 Underlying: Common Stock · 21,713 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 Infinera Corporation common stock. F6 · derivative.exercise_date: These RSUs vest in four annual installments beginning on May 5, 2017. F6 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2017. Read SEC document |
| May 05, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 18,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.xml · derivative · entry 13 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,413 Underlying: Common Stock · 18,413 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 Infinera Corporation common stock. F5 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2016. F5 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2016. Read SEC document |
| May 05, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionRestricted Stock Units · Derivative | 35,629 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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 · 35,629 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 Infinera Corporation common stock. F4 · derivative.exercise_date: These RSUs vest in three annual installments beginning on May 5, 2015. F4 · derivative.expiration_date: These RSUs vest in three annual installments beginning on May 5, 2015. Read SEC document |
| May 05, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 8,160 | $9.55 | $77,928.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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: 1,179,904 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, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 21,713 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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: 1,188,064 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, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 6,920 | $9.55 | $66,086.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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: 1,166,351 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, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 18,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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: 1,173,271 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, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Tax withholdingCommon Stock | 13,390 | $9.55 | $127,874.50 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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: 1,154,858 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, 2017 Filed May 8, 2017 17:09 UTC | Infinera Corp INFN · Entity 82602 | Exercise / conversionCommon Stock | 35,629 | $0.00 | $0.00 |
DisclosureSEC source: 0001138639-17-000015 · wf-form4_149427777422847.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: 1,168,248 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.