SEC Form 4 · accession 0001127602-17-014931
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric B. Compton
Officer — COO
Period of report
Apr 14, 2017
Accepted (ET)
Apr 18, 2017 · 4:38 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 StockF1,F2 | Apr 14, 2017 | M | 4,188 | — | A | 31,281 | D | |
| Common StockF3 | Apr 14, 2017 | M | 70,367 | — | A | 101,648 | D | |
| Common StockF4 | Apr 14, 2017 | F | 29,836 | $42.42 | D | 71,812 | 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)F2,F5 | $0.00 | Apr 14, 2017 | M | 4,188 | D | — | Apr 14, 2018 | Common Stock | 4,188 | 4,189 | D |
| Performance Stock Unit Award (Right to Receive)F3,F6 | $0.00 | Apr 14, 2017 | A | 34,465 | A | — | Apr 14, 2017 | Common Stock | 34,465 | 70,367 | D |
| Performance Stock Unit Award (Right to Receive)F3,F6 | $0.00 | Apr 14, 2017 | M | 70,367 | D | — | Apr 14, 2017 | Common Stock | 70,367 | 0 | D |
Explanation of responses
- F1Represents Restricted Stock Units (RSUs) that are subject to deferral pursuant to the Issuers' Deferred Equity Plan.
- F2RSUs convert into common stock on a one-for-one basis upon vesting.
- F3Performance Stock Units (PSUs) convert into common stock on a one-for-one basis upon vesting.
- F4Includes 7,824 shares subject to deferral pursuant to the Issuer's Deferred Equity Plan.
- F5This RSU award vests in four equal installments beginning on first anniversary of the grant date.
- F6These shares represent PSUs awarded to the Reporting Person pursuant to the 2008 Equity Incentive Plan which vested on April 14, 2017.