SEC Form 4 · accession 0001225208-18-002316
WINDSTREAM HOLDINGS, INC. · WIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony W Thomas
Officer — Director, President & CEO · Director
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 5:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001282266
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 627,571 | D | ||
| Common Stock | holding | — | — | — | 3,947 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $1.50 | Feb 6, 2018 | A | 1,625,000 | A | — | Feb 6, 2028 | Common Stock | 1,625,000 | 1,625,000 | D |
Explanation of responses
- F1These options were issued under an equity incentive plan in accordance with Rule 16b-3(d) and are subject to a substantial risk of forfeiture until vested. The options vest in 3 equal installments beginning March 1, 2019.