SEC Form 4 · accession 0001179022-18-000081
ADTRAN Holdings, Inc. · ADTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Thomas R Stanton
Officer — CEO · Director
Period of report
Nov 9, 2018
Accepted (ET)
Nov 16, 2018 · 5:30 pm 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 | Nov 9, 2018 | A | 43,704 | $0.00 | A | 158,423 | D | |
| Common Stock | Nov 11, 2018 | F | 3,027 | $14.12 | D | 155,396 | D | |
| Common Stock | Nov 12, 2018 | F | 3,223 | $13.45 | D | 152,173 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2,F3 | — | Nov 14, 2018 | A | 553 | A | — | — | Common stock | 553 | 86,119 | D |
Explanation of responses
- F1Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.
- F2Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.
- F3The 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.