SEC Form 4 · accession 0001209191-15-036154
ADTRAN Holdings, Inc. · ADTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E Matthews
Director
Period of report
Apr 24, 2015
Accepted (ET)
Apr 24, 2015 · 5:36 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 | Apr 24, 2015 | M | 5,750 | $15.29 | A | 5,750 | D | |
| Common StockF1 | Apr 24, 2015 | S | 5,750 | $16.0335 | D | 0 | D | |
| Common Stock | Apr 24, 2015 | M | 17,250 | $15.29 | A | 17,250 | D | |
| Common StockF1 | Apr 24, 2015 | S | 17,250 | $16.0335 | D | 0 | 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 OptionF2 | $15.29 | Apr 24, 2015 | M | 5,750 | D | Nov 6, 2009 | Jun 16, 2015 | Common Stock | 5,750 | 0 | D |
| Non-QualifiedF2 | $15.29 | Apr 24, 2015 | M | 17,250 | D | Nov 6, 2009 | Jun 16, 2015 | Common Stock | 17,250 | 0 | D |
Explanation of responses
- F1The shares were sold in multiple transactions at prices ranging from $16.00 to $16.13. 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.
- F2The option vests in four equal and annual installments beginning on the first anniversary date of the grant shown in column 6.