SEC Form 4 · accession 0001127602-17-031763
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen P Macmillan
Officer — Chairman, President and CEO · Director
Period of report
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 4:47 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 | Mar 1, 2017 | M | 237,500 | — | A | 1,026,312 | D | |
| Common StockF1,F2 | Nov 5, 2017 | M | 15,119 | — | A | 1,041,431 | D | |
| Common StockF2 | Nov 7, 2017 | M | 17,348 | — | A | 1,058,779 | D | |
| Common StockF3,F4 | Nov 7, 2017 | M | 277,564 | — | A | 1,336,343 | D | |
| Common StockF5 | Nov 7, 2017 | F | 6,128 | $39.50 | D | 1,330,215 | 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 | — | Mar 1, 2017 | M | 237,500 | D | Mar 1, 2017 | Mar 1, 2017 | Common Stock | 237,500 | 0 | D |
| Restricted Stock Unit Award (Right To Receive)F1,F2,F6 | — | Nov 5, 2017 | M | 15,119 | D | — | — | Common Stock | 15,119 | 15,119 | D |
| Performance Stock Unit Award (Right to Receive)F3,F4,F7 | — | Nov 7, 2017 | A | 138,782 | A | — | Nov 7, 2017 | Common Stock | 138,782 | 277,564 | D |
| Restricted Stock Unit Award (Right To Receive)F2,F8 | — | Nov 7, 2017 | M | 17,348 | D | — | — | Common Stock | 17,348 | 17,348 | D |
| Performance Stock Unit Award (Right to Receive)F3,F4,F7 | — | Nov 7, 2017 | M | 277,564 | D | — | Nov 7, 2017 | Common Stock | 277,564 | 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.
- F3Represents vested Performance Stock Units (PSUs) that are subject to deferral pursuant to Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.
- F4PSUs are settled in shares of common stock on a one-for-one basis upon vesting.
- F5Includes 898,420 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.
- F8This RSU award vests in four installments beginning on first anniversary of the grant date.