SEC Form 4 · accession 0001179022-18-000003
ADTRAN Holdings, Inc. · ADTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roy J Nichols
Director
Period of report
Dec 31, 2017
Accepted (ET)
Jan 2, 2018 · 11:32 am EST
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 StockF1 | Dec 31, 2017 | M | 70 | — | A | 33,911 | D | |
| Common StockF1 | Dec 31, 2017 | D | 1 | $19.35 | D | 33,910 | D | |
| Common Stock | Dec 31, 2017 | A | 4,651 | $0.00 | A | 38,561 | D | |
| Common Stock | holding | — | — | — | 23,328 | I | by Trust | |
| Common Stock | holding | — | — | — | 5,421 | I | by Spouse | |
| Common Stock | holding | — | — | — | 6 | I | by Spouse as UTMA custodian for granddaughter | |
| Common Stock | holding | — | — | — | 6 | I | by Spouse as UTMA custodian for grandson |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF1 | — | Dec 31, 2017 | M | 70 | D | — | — | Common Stock | 70 | 0 | D |
Explanation of responses
- F1Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.