SEC Form 4 · accession 0001179022-17-000012
ADTRAN Holdings, Inc. · ADTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas R Stanton
Officer — CEO · Director
Period of report
Feb 16, 2017
Accepted (ET)
Mar 3, 2017 · 5:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000926282
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F1,F2 | — | Feb 16, 2017 | A | 268 | A | — | — | Common stock | 268 | 65,610 | D |
Explanation of responses
- F1Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.
- F2The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.
- F3The reporting person previously reported an acquisition on November 17, 2017 of 13,547 shares of Phantom Stock as reported on a Form 4 filed on November 18, 2016. The actual number of shares of Phantom Stock acquired on November 17, 2017 was 13,915. The correct amount of derivative securities beneficially owned currently reflects the correct amount.