SEC Form 4 · accession 0001127602-18-032441
HOLOGIC INC · HOLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A. West
Officer — Div President & GM, Diagnostic
Period of report
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 4:58 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,F3 | Oct 3, 2018 | M | 4,064 | — | A | 32,970 | D | |
| Common StockF1,F2,F4,F5 | Nov 5, 2018 | M | 2,086 | — | A | 35,664 | D | |
| Common StockF6,F2,F4,F7 | Nov 5, 2018 | A | 14,388 | — | A | 50,052 | 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,F8 | $0.00 | Oct 3, 2018 | M | 4,064 | D | — | — | Common Stock | 4,064 | 0 | D |
| Restricted Stock Unit Award (Right To Receive)F2,F9 | — | Nov 5, 2018 | M | 2,086 | D | — | — | Common Stock | 2,086 | 0 | D |
Explanation of responses
- F1Represents vested restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.
- F2Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.
- F3Includes 18,053 restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.
- F4Includes 608 shares acquired pursuant to the Issuer's employee stock purchase plan since the date of the Reporting Person's most recently filed Form 4.
- F5Includes 20,139 restricted stock units/performance stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.
- F6Represents vested performance stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan and are being voluntarily reported on Table I.
- F7Includes 34, 527 restricted stock units/performance share units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.
- F8This restricted stock unit award vests in four installments beginning on first anniversary of the grant date, October 3, 2014.
- F9Represents restricted stock units which vest in equal installments on each of the first three anniversaries of the grant date, November 5, 2015.