Form Type: 4/A

SEC EDGAR Link
Accession Number:0000926282-22-000051
Date:2022-08-11
Issuer: ADTRAN HOLDINGS, INC. (ADTN)
Original Submission Date:2022-08-15

Reporting Person:

WILSON JAMES DENSON JR
901 EXPLORER BLVD
HUNTSVILLE, AL 35806

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2022-08-11 M 5,271 a $18.97 137,526 direct
COMMON STOCK 2022-08-11 S 5,271 d $24.17 132,255 direct
COMMON STOCK 2022-08-11 M 6,260 a $15.33 138,515 direct
COMMON STOCK 2022-08-11 S 6,260 d $24.17 132,255 direct
COMMON STOCK 2022-08-11 M 19,772 a $18.97 152,027 direct
COMMON STOCK 2022-08-11 S 19,772 d $24.18 132,255 direct
COMMON STOCK 2022-08-11 M 12,522 a $15.33 144,777 direct
COMMON STOCK 2022-08-11 S 12,522 d $24.18 132,255 direct
COMMON STOCK 2022-08-11 S 3,797 d $24.29 128,458 direct
COMMON STOCK 2022-08-11 0 $0.00 4,117 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
INCENTIVE STOCK OPTION (RIGHT TO BUY) 18.97 2022-08-11 deemed execution date M 5,271 (d) 2024-11-15 common stock 5,271 $18.97 0 direct
INCENTIVE STOCK OPTION (RIGHT TO BUY) 15.33 2022-08-11 deemed execution date M 6,260 (d) 2025-11-14 common stock 6,260 $15.33 0 direct
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) 18.97 2022-08-11 deemed execution date M 19,772 (d) 2024-11-15 common stock 19,772 $18.97 0 direct
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) 15.33 2022-08-11 deemed execution date M 12,522 (d) 2025-11-14 common stock 12,522 $15.33 0 direct
INCENTIVE STOCK OPTION (RIGHT TO BUY) 23.64 deemed execution date 0 ( ) 2023-11-02 common stock 4,865 $23.64 4,865 direct
NON-QUALIFIED STOCK OPTION (RIGHT TO BUY) 23.64 deemed execution date 0 ( ) 2023-11-02 common stock 15,169 $23.64 15,169 direct
PHANTOM STOCK 0.0 deemed execution date 0 ( ) common stock 17,196 $0.00 17,196 direct
Footnotes
IDfootnote
f1 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.
f2 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.
f3 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.
f4 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.
f5 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.
f6 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.
f7 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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