SEC Form 4 · accession 0001127602-17-033910
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
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 4:11 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 | Dec 1, 2017 | F | 9,038 | $40.85 | D | 1,321,177 | D | |
| Common StockF2,F1 | Dec 1, 2017 | A | 50,746 | — | A | 1,371,923 | D | |
| Common StockF3,F2,F1 | Dec 1, 2017 | A | 23,616 | — | A | 1,395,539 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)F4 | $40.85 | Dec 1, 2017 | A | 159,339 | A | — | Dec 1, 2027 | Common Stock | 159,339 | 159,339 | D |
| Non-qualified Stock Option (Right to Buy)F4 | $40.85 | Dec 1, 2017 | A | 768,639 | A | — | Dec 1, 2027 | Common Stock | 768,639 | 768,639 | D |
Explanation of responses
- F1Includes 898,420 restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.
- F2Restricted stock units are settled in shares of common stock on a one-for-one basis.
- F3Represents Matching RSUs granted to the Reporting Person which vest in one installment on the third anniversary of the grant date.
- F4This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date.