SEC Form 4 · accession 0001127602-16-064731
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karleen Marie Oberton
Officer — Corp. VP & Chief Acctg Officer
Period of report
Oct 10, 2016
Accepted (ET)
Oct 12, 2016 · 4:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000859737
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 10, 2016 | M | 8,158 | $16.82 | A | 17,005 | D | |
| Common Stock | Oct 10, 2016 | M | 8,402 | $17.09 | A | 25,407 | D | |
| Common Stock | Oct 10, 2016 | M | 7,994 | $19.86 | A | 33,401 | D | |
| Common Stock | Oct 10, 2016 | M | 6,916 | $21.45 | A | 40,317 | D | |
| Common StockF1,F2 | Oct 10, 2016 | S | 31,470 | $40.00 | D | 9,065 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)F3 | $16.82 | Oct 10, 2016 | M | 8,158 | D | Nov 10, 2011 | Nov 10, 2017 | Common Stock | 8,158 | 0 | D |
| Non-qualified Stock Option (Right to Buy)F4 | $17.09 | Oct 10, 2016 | M | 8,402 | D | Nov 9, 2012 | Nov 9, 2018 | Common Stock | 8,402 | 4,202 | D |
| Non-qualified Stock Option (Right to Buy)F5 | $19.86 | Oct 10, 2016 | M | 7,994 | D | Nov 14, 2013 | Nov 14, 2019 | Common Stock | 7,994 | 7,994 | D |
| Non-qualified Stock Option (Right to Buy)F6 | $21.45 | Oct 10, 2016 | M | 6,916 | D | Nov 18, 2014 | Nov 18, 2020 | Common Stock | 6,916 | 10,375 | D |
Explanation of responses
- F1Shares sold pursuant to an existing Rule 10b5-1 trading plan.
- F2Includes 218 shares acquired pursuant to the Issuer's employee stock purchase plan since the date of the Reporting Person's most recently filed Form 4.
- F3The option, issued pursuant to the 2008 Equity Incentive Plan, is exercisable in five equal, annual installments beginning November 10, 2011.
- F4The option, issued pursuant to the 2008 Equity Incentive Plan, is exercisable in five equal, annual installments beginning November 9, 2012.
- F5The option, issued pursuant to the 200 Equity Incentive Plan, is exercisable in five equal, annual installments beginning November 14, 2013.
- F6The option, issued pursuant to the 2008 Equity Incentive Plan, is exercisable in five equal, annual installments beginning November 18, 2014.