Accession Number: | 0000926282-22-000051 |
Date: | 2022-08-11 |
Issuer: | ADTRAN HOLDINGS, INC. (ADTN) |
Original Submission Date: | 2022-08-15 |
WILSON JAMES DENSON JR
901 EXPLORER BLVD
HUNTSVILLE, AL 35806
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
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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. |