SEC Form 4 · accession 0001127602-18-033029
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 12, 2018
Accepted (ET)
Nov 14, 2018 · 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,F3 | Nov 12, 2018 | A | 49,484 | — | A | 1,603,296 | D | |
| Common StockF4,F2,F3 | Nov 12, 2018 | A | 24,408 | — | A | 1,627,704 | D | |
| Common StockF6,F3 | Nov 14, 2018 | J | 41,770 | $39.82 | D | 1,585,934 | 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)F7 | $40.97 | Nov 12, 2018 | A | 151,071 | A | — | Nov 12, 2028 | Common Stock | 151,071 | 151,071 | D |
Explanation of responses
- F1Represents restricted stock units which vest in equal installments on each of the first three anniversaries of the grant date, November 12, 2018.
- F2Restricted stock units are settled in shares of common stock on a one-for-one basis.
- F3Includes 1,045,901 restricted stock units/performance stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.
- F4Represents matching restricted stock units granted to the Reporting Person which vest in one installment on the third anniversary of the November 12, 2018 grant date.
- F5Shares transferred pursuant to marriage settlement agreement.
- F6Closing price per share of Hologic stock on the date of transfer.
- F7This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date, November 12, 2018.