SEC Form 4 · accession 0001209191-15-081069
ADTRAN Holdings, Inc. · ADTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn A Walker
Director
Period of report
Aug 14, 2014
Accepted (ET)
Nov 18, 2015 · 6:08 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 | May 14, 2015 | M | 24 | — | A | 5,572 | D | |
| Common Stock | May 14, 2015 | M | 0 | $16.64 | D | 5,572 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Dividend Equivalent RightsF3,F2 | — | Aug 14, 2014 | A | 8 | A | — | — | Common Stock | 8 | 8 | D |
| Dividend Equivalent RightsF3,F2 | — | Nov 13, 2014 | A | 9 | A | — | — | Common Stock | 9 | 17 | D |
| Dividend Equivalent RightsF1 | — | May 14, 2015 | D | 34 | A | — | — | Common Stock | 34 | 14 | D |
| Dividend Equivalent RightsF2 | — | May 21, 2015 | A | 20 | A | — | — | Common Stock | 20 | 34 | D |
| Dividend Equivalent RightsF2 | — | Aug 13, 2015 | A | 21 | A | — | — | Common Stock | 21 | 55 | D |
| Dividend Equivalent RightsF2 | — | Nov 12, 2015 | A | 21 | A | — | — | Common Stock | 21 | 76 | 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.
- F2The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.
- F3The amounts previously reported for these transactions were misstated on a Form 4 filed on January 5, 2015 as 15.244 dividend equivalent rights on 8/14/2014 and 17.82 dividend equivalent rights on 11/13/2014.