SEC Form 4 · accession 0001127602-17-031770
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, 2017
Accepted (ET)
Nov 9, 2017 · 5:01 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 | 3,128 | — | A | 74,940 | D | |
| Common StockF1,F2 | Nov 7, 2017 | M | 3,636 | — | A | 78,576 | D | |
| Common StockF3 | Nov 7, 2017 | M | 58,182 | — | A | 136,758 | D | |
| Common StockF4 | Nov 7, 2017 | F | 27,375 | $39.50 | D | 109,383 | 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 | — | Nov 5, 2017 | M | 3,128 | D | — | — | Common Stock | 3,128 | 3,128 | D |
| Restricted Stock Unit Award (Right To Receive)F1,F2,F6 | — | Nov 7, 2017 | M | 3,636 | D | — | — | Common Stock | 3,636 | 3,637 | D |
| Performance Stock Unit Award (Right to Receive)F3,F7 | — | Nov 7, 2017 | A | 29,091 | A | — | Nov 7, 2017 | Common Stock | 29,091 | 58,182 | D |
| Performance Stock Unit Award (Right to Receive)F3,F7 | — | Nov 7, 2017 | M | 58,182 | D | — | Nov 7, 2017 | Common Stock | 58,182 | 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 I.
- F2RSUs are settled in shares of common stock upon vesting on a one-for-one basis.
- F3Performance Share Units (PSUs) are settled in shares of common stock on a one-for-one basis upon vesting.
- F4Includes 14,588 shares subject to deferral pursuant to Issue's Deferred Equity Plan.
- F5This RSU award vests in three installments beginning on the first anniversary of the grant date.
- F6This RSU award vests in four installments beginning on 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.