SEC Form 4 · accession 0001225208-15-006268
ADT Corp · ADT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
N. David Bleisch
Officer — SVP, GC, Secretary
Period of report
Feb 27, 2015
Accepted (ET)
Mar 2, 2015 · 1:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001546640
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 27, 2015 | M | 3,900 | $31.3397 | A | 51,301 | D | |
| Common Stock | Feb 27, 2015 | M | 2,800 | $29.5082 | A | 54,101 | D | |
| Common StockF1,F2 | Feb 27, 2015 | S | 6,700 | $39.4615 | D | 47,401 | D |
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)F3 | $31.3397 | Feb 27, 2015 | M | 3,900 | D | — | Jun 19, 2015 | Common Stock | 3,900 | 7,892 | D |
| Employee Stock Option (Right to Buy)F4 | $29.5082 | Feb 27, 2015 | M | 2,800 | D | — | Nov 21, 2015 | Common Stock | 2,800 | 5,552 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.18 to $39.69, inclusive. The reporting person undertakes to provide to The ADT Corporation, any security holder of The ADT Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3An option which vested in equal increments on June 20, 2006, 2007 and 2008.
- F4An option which vested in equal increments on November 22, 2006, 2007 and 2008.