Wilson James Denson Jr's Form 4/A amendment
AmendedADTRAN Holdings, Inc.ADTN · filed Sep 8, 2022
- Accession no.
- 0001209191-22-049094
- Filed
- Sep 8, 2022
- Trade date
- Sep 1-4, 2022
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 6, 2022
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $2.34K. It was filed 7 days after the trade.
This amendment replaces 0000926282-22-000055 (filed Sep 6, 2022).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Wilson James Denson JrCIK 0001371377 | Officer (Chief Revenue Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 4, 2022 | Common Stock | PPurchaseAcquired | +102.33 | $22.90 | +$2,343.36 | 128,560.49 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2022 | Common Stock | PPurchaseAcquired | +67.26 | $23.01 | +$1,547.65 | 17,263.74 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Reflects shares acquired through the automatic reinvestment of dividends paid on the Issuer's common stock.
- F2
Includes 15.653 shares acquired since the reporting person's prior Form 4 from the automatic reinvestment of dividends.
- F3
Represents shares of phantom stock of the Issuer that have been acquired through the automatic reinvestment of dividends paid on the Issuer's common stock held in the reporting person's account under the Issuer's deferred compensation plan. The phantom shares become payable in cash six months after the reporting person's separation of service with the Issuer.
- F4
The options granted to the reporting person vested in four equal annual installments beginning on November 2, 2013.
Remarks
The reporting person realized short-swing profits under Section 16(b) of the Exchange Act as a result of shares acquired through the automatic reinvestment of dividends paid on the Issuer's common stock held in the reporting person's personal brokerage accounts on September 4, 2022 being matched against prior sales of the Issuer's common stock by the reporting person. The reporting person has paid to the Issuer the maximum amount of short-swing profits that may have been realized by the reporting person.