SEC Form 4 · accession 0001127602-16-066420
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
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 5:39 pm EST
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 StockF1 | Nov 4, 2016 | M | 774 | — | A | 9,839 | D | |
| Common Stock | Nov 4, 2016 | F | 252 | $38.08 | D | 9,587 | D | |
| Common Stock | Nov 7, 2016 | S | 522 | $38.53 | D | 9,065 | D | |
| Common StockF1 | Nov 7, 2016 | M | 1,860 | — | A | 10,925 | D | |
| Common Stock | Nov 7, 2016 | F | 876 | $38.68 | D | 10,049 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit Award (Right To Receive)F1,F3 | — | Nov 4, 2016 | M | 774 | D | — | — | Common Stock | 774 | 1,572 | D |
| Restricted Stock Unit Award (Right To Receive)F1,F4 | — | Nov 7, 2016 | M | 1,860 | D | — | — | Common Stock | 1,860 | 3,720 | D |
Explanation of responses
- F1Restricted stock units (RSUs) convert into common stock on a one-for-one basis upon vesting.
- F2Shares sold pursuant to an existing Rule 10b5-1 trading plan.
- F3This RSU award vests in three equal installments beginning on the first anniversary of the grant date.
- F4This RSU award vests in four equal installments beginning on first anniversary of the grant date.