Filing Details
- Accession Number:
- 0000926282-22-000051
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2022-09-02 16:25:03
- Reporting Period:
- 2022-08-11
- Accepted Time:
- 2022-09-02 16:25:03
- Original Submission Date:
- 2022-08-15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 926282 | Adtran Holdings Inc. | ADTN | Telephone & Telegraph Apparatus (3661) | 872164282 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1371377 | Jr Denson James Wilson | 901 Explorer Blvd Huntsville AL 35806 | Chief Revenue Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-08-11 | 5,271 | $18.97 | 137,526 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-08-11 | 5,271 | $24.17 | 132,255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-08-11 | 6,260 | $15.33 | 138,515 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-08-11 | 6,260 | $24.17 | 132,255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-08-11 | 19,772 | $18.97 | 152,027 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-08-11 | 19,772 | $24.18 | 132,255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-08-11 | 12,522 | $15.33 | 144,777 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-08-11 | 12,522 | $24.18 | 132,255 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-08-11 | 3,797 | $24.29 | 128,458 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (Right to Buy) | Disposition | 2022-08-11 | 5,271 | $0.00 | 5,271 | $18.97 |
| Common Stock | Incentive Stock Option (Right to Buy) | Disposition | 2022-08-11 | 6,260 | $0.00 | 6,260 | $15.33 |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | Disposition | 2022-08-11 | 19,772 | $0.00 | 19,772 | $18.97 |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | Disposition | 2022-08-11 | 12,522 | $0.00 | 12,522 | $15.33 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-11-15 | No | 4 | M | Direct | |
| 0 | 2025-11-14 | No | 4 | M | Direct | |
| 0 | 2024-11-15 | No | 4 | M | Direct | |
| 0 | 2025-11-14 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,117 | Indirect | 401(k) Plan |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (Right to Buy) | $23.64 | 2023-11-02 | 4,865 | 4,865 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to Buy) | $23.64 | 2023-11-02 | 15,169 | 15,169 | Direct | |
| Common Stock | Phantom Stock | $0.00 | 17,196 | 17,196 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2023-11-02 | 4,865 | 4,865 | Direct |
| 2023-11-02 | 15,169 | 15,169 | Direct |
| 17,196 | 17,196 | Direct |
Footnotes
- 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.
- 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.
- 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.
- 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.
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