SEC Form 4 · accession 0001209191-15-016052
L 3 COMMUNICATIONS HOLDINGS INC · LLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A. Cody
Officer — See Remarks
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 4:36 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,F3 | Feb 17, 2015 | A | 1,715 | $0.00 | A | 7,200 | D | |
| Common StockF4,F3 | Feb 17, 2015 | A | 2,076 | $0.00 | A | 9,276 | D | |
| Common StockF5,F3 | Feb 17, 2015 | F | 688 | $129.31 | D | 8,588 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 02/17/15 Employee Stock Option (Right to Buy)F6 | $129.31 | Feb 17, 2015 | A | 9,549 | A | — | Feb 17, 2025 | Common Stock | 9,549 | 9,549 | D |
Explanation of responses
- F1Represents the deemed acquisition of restricted stock units upon the satisfaction of relevant performance criteria. These restricted stock units were granted on February 19, 2014 and vest on the three-year anniversary of the grant date, provided certain performance criteria have been met for the fiscal year ended December 31, 2014.
- F2Reflects additional shares acquired through the Company's Master Savings (401(k)) Plan.
- F3Does not include shares issuable upon the exercise of options.
- F4Represents shares acquired through the vesting of performance units settled in common stock. The performance units were granted on February 22, 2012.
- F5Represents the number of common shares surrendered to pay applicable tax withholding on the shares acquired through the vesting of the performance units.
- F6This option vests annually in equal one-third increments beginning on the one-year anniversary of the grant date.
Remarks
Senior Vice President of Washington Operations