SEC Form 4 · accession 0001127602-16-069203
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A. West
Officer — Div President & GM, Diagnostic
Period of report
Nov 5, 2016
Accepted (ET)
Dec 5, 2016 · 7:42 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 5, 2016 | M | 2,085 | — | A | 8,425 | D | |
| Common StockF3,F2,F4 | Dec 1, 2016 | A | 8,634 | — | A | 17,059 | 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,F3 | — | Nov 5, 2016 | M | 2,085 | D | — | — | Common Stock | 2,085 | 4,171 | D |
| Non-qualified Stock Option (Right to Buy)F5 | $37.64 | Dec 1, 2016 | A | 26,683 | A | — | Dec 1, 2026 | Common Stock | 26,683 | 26,683 | 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 7,841 shares subject to deferral pursuant to the Issuer's Deferred Equity Plan.
- F5This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date.