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 13, 2017 Filed Mar 15, 2017 21:19 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 70 | $14.85 | $1,039.50 |
DisclosureSEC source: 0001593968-17-000442 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,815 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 21:31 UTC | Infinera Corp INFN · Entity 82602 | GrantRestricted Stock Units · Derivative | 114,831 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-014103 · doc4.xml · derivative · entry 10 Fallon Thomas J · CIK 0001399121 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,831 Underlying: Common Stock · 114,831 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, 2018. F7 · derivative.expiration_date: These RSUs vest in four annual installments beginning on May 5, 2018. Read SEC document |
| December 31, 2016 Filed Jan 20, 2017 20:32 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 337 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000108 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,745 F1 · shares: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. F1 · price: Shares acquired through the Hercules Capital, Inc. Dividend Reinvestment Plan. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 20:28 UTC | Hercules Capital, Inc. HTGC · Entity 4164 | GrantCommon Stock | 3,720 | $13.44 | $49,996.80 |
DisclosureSEC source: 0001593968-16-001054 · primary_01.xml · nonDerivative · entry 1 Fallon Thomas J · CIK 0001399121 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,408 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.