SEC Form 4 · accession 0001179022-17-000045
ADTRAN Holdings, Inc. · ADTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin P. Heering
Officer — Sr VP Quality & Administration
Period of report
Oct 23, 2017
Accepted (ET)
Oct 25, 2017 · 4:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000926282
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 23, 2017 | M | 6,283 | $15.29 | A | 10,162 | D | |
| Common Stock | Oct 23, 2017 | M | 3,526 | $16.97 | A | 13,688 | D | |
| Common StockF1 | Oct 23, 2017 | S | 9,809 | $21.595 | D | 3,879 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $15.29 | Oct 23, 2017 | M | 6,283 | D | Nov 6, 2009 | Nov 6, 2018 | Common Stock | 6,283 | 0 | D |
| Incentive Stock Option (Right to Buy) | $16.97 | Oct 23, 2017 | M | 3,526 | D | Nov 3, 2013 | Nov 3, 2022 | Common Stock | 3,526 | 0 | D |
Explanation of responses
- F1The shares were sold in multiple transactions at prices ranging from $21.55 to $21.60. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.