SEC Form 4 · accession 0001209191-15-021549
L 3 COMMUNICATIONS HOLDINGS INC · LLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ralph Dambrosio
Officer — See Remarks
Period of report
Feb 27, 2015
Accepted (ET)
Mar 3, 2015 · 5:30 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 | 5,600 | $70.53 | A | 45,662 | D | |
| Common StockF2,F1 | Feb 27, 2015 | S | 5,600 | $129.65 | D | 40,062 | D | |
| Common StockF1 | Mar 2, 2015 | M | 27,655 | $70.53 | A | 67,717 | D | |
| Common StockF3,F1 | Mar 2, 2015 | S | 27,655 | $130.72 | D | 40,062 | D | |
| Common StockF1 | Mar 2, 2015 | M | 6,500 | $95.42 | A | 46,562 | D | |
| Common StockF4,F1 | Mar 2, 2015 | S | 6,500 | $130.67 | D | 40,062 | D | |
| Common StockF1 | Mar 2, 2015 | M | 1,000 | $95.42 | A | 41,062 | D | |
| Common StockF5,F1 | Mar 2, 2015 | S | 1,000 | $131.00 | D | 40,062 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 07/28/2009 Employee Stock Option (Right to Buy)F6 | $70.53 | Feb 27, 2015 | M | 5,600 | D | — | Jul 28, 2019 | Common Stock | 5,600 | 27,655 | D |
| 07/28/2009 Employee Stock Option (Right to Buy)F6 | $70.53 | Mar 2, 2015 | M | 27,655 | D | — | Jul 28, 2019 | Common Stock | 27,655 | 0 | D |
| 8/01/2007 Employee Stock Option (Right to Buy)F6 | $95.42 | Mar 2, 2015 | M | 7,500 | D | — | Aug 1, 2017 | Common Stock | 7,500 | 6,392 | D |
Explanation of responses
- F1Does not include shares issuable upon the exercise of options.
- F2Represents weighted average sale price for price increments ranging from $129.60 to $129.73. 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 $130.57 to $131.01. 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 $130.54 to $130.84. 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.
- F5Represents weighted average sale price for price increments ranging from $131.00 to $131.01. 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.
- F6This option vests annually in equal one-third increments beginning on the one-year anniversary of the grant date.
Remarks
Senior Vice President and Chief Financial Officer