SEC Form 4 · accession 0001127602-17-031749
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M. Griffin
Officer — General Counsel
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 4:29 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, 2017 | M | 2,502 | — | A | 16,627 | D | |
| Common StockF3,F4 | Nov 7, 2017 | M | 21,486 | — | A | 38,113 | D | |
| Common StockF3,F4,F5 | Nov 7, 2017 | M | 16,528 | — | A | 54,641 | 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,F6 | — | Nov 5, 2017 | M | 2,502 | D | — | — | Common Stock | 2,502 | 2,503 | D |
| Performance Stock Unit Award (Right to Receive)F4,F7 | — | Nov 7, 2017 | A | 10,743 | A | — | Feb 2, 2018 | Common Stock | 10,743 | 21,486 | D |
| Performance Stock Unit Award (Right to Receive)F4,F7 | — | Nov 7, 2017 | A | 8,264 | A | — | Feb 2, 2018 | Common Stock | 8,264 | 16,528 | D |
| Performance Stock Unit Award (Right to Receive)F4,F7 | — | Nov 7, 2017 | M | 21,486 | D | — | Feb 2, 2018 | Common Stock | 21,486 | 0 | D |
| Performance Stock Unit Award (Right to Receive)F4,F7 | — | Nov 7, 2017 | M | 16,528 | D | — | Feb 2, 2018 | Common Stock | 16,528 | 0 | D |
Explanation of responses
- F1Represents vested Restricted Stock Units (RSUs) that are subject to deferral pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table 1.
- F2RSUs are settled in shares of common stock on a one-for-one basis upon vesting.
- F3Reflects Performance Stock Units (PSUs) as to which the performance criteria has been satisfied, but which remain subject to service-based vesting requirements.
- F4PSUs are settled in shares of common stock on a one-for-one basis upon vesting.
- F5Includes 13,638 shares subject to deferral pursuant to the Issuer's Deferred Equity Plan.
- F6This RSU award vests in three installments beginning on the first anniversary of the grant date.
- F7These shares represent PSUs awarded to the Reporting Person pursuant to the 2008 Equity Incentive Plan and are subject to vesting as provided in the agreement evidencing the award.