SEC Form 4 · accession 0000899243-16-014057
L 3 COMMUNICATIONS HOLDINGS INC · LLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A. Cody
Officer — SVP of Washington Operations
Period of report
Feb 22, 2016
Accepted (ET)
Feb 23, 2016 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001056239
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 22, 2016 | S | 2,045 | $118.63 | D | 4,434 | D | |
| Common StockF2 | Feb 22, 2016 | M | 4,760 | $77.00 | A | 9,194 | D | |
| Common StockF3,F2 | Feb 22, 2016 | S | 4,760 | $118.60 | D | 4,434 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 02/20/2013 Employee Stock Option (Right to Buy)F4 | $77.00 | Feb 22, 2016 | M | 4,760 | D | — | Feb 20, 2023 | Common Stock | 4,760 | 0 | D |
Explanation of responses
- F1Represents weighted average sale price for price increments ranging from $118.44 to $118.74. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2Does not include shares issuable upon the exercise of options.
- F3Represents weighted average sale price for price increments ranging from $118.41 to $118.82. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4This option vests annually in equal one-third increments beginning on the one-year anniversary of the grant date.