SEC Form 4 · accession 0001209191-15-021508
L 3 COMMUNICATIONS HOLDINGS INC · LLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leslie Rose
Officer — See Remarks
Period of report
Feb 27, 2015
Accepted (ET)
Mar 3, 2015 · 5:23 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 | Feb 27, 2015 | M | 6,262 | $95.42 | A | 20,384 | D | |
| Common StockF2,F1 | Feb 27, 2015 | S | 6,262 | $129.74 | D | 14,122 | D | |
| Common StockF1 | Mar 2, 2015 | M | 8,614 | $92.31 | A | 22,736 | D | |
| Common StockF1 | Mar 2, 2015 | S | 8,614 | $131.00 | D | 14,122 | D | |
| Common StockF1 | Mar 2, 2015 | M | 4,992 | $70.53 | A | 19,114 | D | |
| Common StockF3,F1 | Mar 2, 2015 | S | 4,992 | $130.91 | D | 14,122 | D | |
| Common StockF1 | Mar 2, 2015 | M | 6,812 | $67.49 | A | 20,934 | D | |
| Common StockF4,F1 | Mar 2, 2015 | S | 6,812 | $130.69 | D | 14,122 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 8/1/2007 Employee Stock Option (Right to Buy)F5 | $95.42 | Feb 27, 2015 | M | 6,262 | D | — | Aug 1, 2017 | Common Stock | 6,262 | 0 | D |
| 7/29/2008 Employee Stock Option (Right to Buy)F5 | $92.31 | Mar 2, 2015 | M | 8,614 | D | — | Jul 29, 2018 | Common Stock | 8,614 | 0 | D |
| 7/28/2009 Employee Stock Option (Right to Buy)F5 | $70.53 | Mar 2, 2015 | M | 4,992 | D | — | Jul 28, 2019 | Common Stock | 4,992 | 0 | D |
| 2/22/2012 Employee Stock Option (Right to Buy)F5 | $67.49 | Mar 2, 2015 | M | 6,812 | D | — | Feb 22, 2022 | Common Stock | 6,812 | 0 | D |
Explanation of responses
- F1Does not include shares issuable upon the exercise of options.
- F2Represents weighted average sale price for price increments ranging from $129.59 to $130.04. 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.
- F3Represents weighted average sale price for price increments ranging from $130.88 to $130.96. 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.
- F4Represents weighted average sale price for price increments ranging from $130.60 to $130.91. 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.
- F5This option vests annually in equal one-third increments beginning on the one-year anniversary of the grant date.
Remarks
Vice President and President of National Security Solutions