Wilson James Denson Jr 的 Form 4/A 修正申報

修正

ADTRAN Holdings, Inc.（ADTN），2022/9/2 申報

申報編號: 0000926282-22-000051
申報時間: 2022/9/2
交易日: 2022/8/11
申報延遲: 22 天
10b5-1 計畫: 表單沒有這欄（2023 年以前）
原始申報日: 2022/8/15

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 9 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $115.2 萬。交易後 22 天申報。

這份修正申報取代了 0000926282-22-000049（2022/8/15 申報）。

申報人

一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。

這份申報的申報人
申報人	與公司的關係
Wilson James Denson JrCIK 0001371377	高階主管（營收長）

非衍生性證券（表 I）

普通股等股票的取得與處分，每一列是申報上的一筆。

非衍生性證券的交易
交易日	證券	交易	股數	價格	金額	交易後持股	持有方式
2022/8/11	Common Stock	M行使選擇權取得	+5,271	$18.97	+$99,990.87	137,526.15	直接
2022/8/11	Common Stock	S賣出處分	−5,271	$24.17^F1	−$127,400.07	132,255.15	直接
2022/8/11	Common Stock	M行使選擇權取得	+6,260	$15.33	+$95,965.8	138,515.15	直接
2022/8/11	Common Stock	S賣出處分	−6,260	$24.17^F1	−$151,304.2	132,255.15	直接
2022/8/11	Common Stock	M行使選擇權取得	+19,772	$18.97	+$375,074.84	152,027.15	直接
2022/8/11	Common Stock	S賣出處分	−19,772	$24.18^F2	−$478,086.96	132,255.15	直接
2022/8/11	Common Stock	M行使選擇權取得	+12,522	$15.33	+$191,962.26	144,777.15	直接
2022/8/11	Common Stock	S賣出處分	−12,522	$24.18^F2	−$302,781.96	132,255.15	直接
2022/8/11	Common Stock	S賣出處分	−3,797	$24.29^F3	−$92,229.13	128,458.15	直接

衍生性證券（表 II）

選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。

衍生性證券的交易
交易日	證券	交易	標的股數	單價	金額	持有方式
2022/8/11	Common Stock	M行使選擇權處分	−5,271	$0.00	$0	直接
2022/8/11	Common Stock	M行使選擇權處分	−6,260	$0.00	$0	直接
2022/8/11	Common Stock	M行使選擇權處分	−19,772	$0.00	$0	直接
2022/8/11	Common Stock	M行使選擇權處分	−12,522	$0.00	$0	直接

附註與備註

本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。

These shares were sold in multiple transactions at prices ranging from $24.07 to $24.45, inclusive. The reporting person undertakes to provide to ADTRAN Holdings, Inc. (the Issuer), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

表 I 有 2 筆交易的價格引用這則附註。

These shares were sold in multiple transactions at prices ranging from $24.07 to $24.38, inclusive. The reporting person undertakes to provide to ADTRAN Holdings, Inc. (the Issuer), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2) to this Form 4.

表 I 有 2 筆交易的價格引用這則附註。

These shares were sold in multiple transactions at prices ranging from $24.15 to $24.41, inclusive. The reporting person undertakes to provide to ADTRAN Holdings, Inc. (the Issuer), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4.

表 I 有 1 筆交易的價格引用這則附註。

The options granted to the reporting person vested in four equal annual installments beginning on the first anniversary of the date of the grant, which was November 15, 2014.

The options granted to the reporting person vested in four equal annual installments beginning on the first anniversary of the date of the grant, which was November 14, 2015.

The options granted to the reporting person vested in four equal annual installments beginning on the first anniversary of the date of the grant, which was November 2, 2013.

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, which phantom shares become payable in cash six months after the reporting person's separation of service with the Issuer.

備註

Explanatory note: This amendment is being filed to clarify that the sales prices for the direct sales on 8/11/22 that were originally reported in the Form 4 filed on 8/15/22 were weighted average prices and to provide the range of prices at which the at which the shares were sold.

看 SEC EDGAR 上的完整原文（在新分頁開啟）