SEC Form 4 · accession 0001225208-15-021022
ADT Corp · ADT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Ferber
Officer — President, Residential
Period of report
Nov 13, 2015
Accepted (ET)
Nov 17, 2015 · 6:20 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 StockF1 | Nov 13, 2015 | A | 7,940 | $0.00 | A | 31,181 | D | |
| Common Stock | Nov 14, 2015 | F | 530 | $33.81 | D | 30,651 | D | |
| Common Stock | holding | — | — | — | 2,000 | I | By Alan D Ferber Trust Dated 1/23/1996 | |
| Common Stock | holding | — | — | — | 2,000 | I | By Brenda A. Ferber Declaration of Trust DTD 1/23/1996 |
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)F2 | $33.81 | Nov 13, 2015 | A | 34,670 | A | — | Nov 12, 2025 | Common Stock | 34,670 | 34,670 | D |
Explanation of responses
- F1Restricted stock units which vest in equal increments on November 13, 2016, November 13, 2017, November 13, 2018 and November 13, 2019.
- F2An option which vests in equal increments on November 13, 2016, November 13, 2017, November 13, 2018 and November 13, 2019.