SEC Form 4 · accession 0001127602-16-069191
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric B. Compton
Officer — COO
Period of report
Nov 7, 2016
Accepted (ET)
Dec 5, 2016 · 7:32 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,F2 | Nov 7, 2016 | M | 3,636 | — | A | 14,694 | D | |
| Common StockF3,F2,F4 | Dec 1, 2016 | A | 11,623 | — | A | 26,317 | 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,F2,F5 | $0.00 | Nov 7, 2016 | M | 3,636 | D | — | — | Common Stock | 3,636 | 7,273 | D |
| Non-qualified Stock Option (Right to Buy)F6 | $37.64 | Dec 1, 2016 | A | 35,919 | A | — | Dec 1, 2026 | Common Stock | 35,919 | 35,919 | D |
Explanation of responses
- F1Represents vested RSUs that are subject to deferral pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table 1.
- F2RSUs convert into common stock on a one-for-one basis upon vesting.
- F3Represents RSUs which vest in equal installments on each of the first three anniversaries of the grant date and are settled in shares of common stock.
- F4Includes 3,636 shares subject to deferral pursuant to the Issuer's Deferred Equity Plan.
- F5Represents RSUs which vest in equal installments on each of the first four anniversaries of the grant date and are settled in shares of common stock.
- F6This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date.