Statement of Changes in Beneficial Ownership (4)
2019年5月24日 - 5:30AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Wardlow Graham
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2. Issuer Name
and
Ticker or Trading Symbol
LUXFER HOLDINGS PLC
[
LXFR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
See Remarks
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(Last)
(First)
(Middle)
LUXFER HOLDINGS PLC, LUMNS LANE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/22/2019
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(Street)
MANCHESTER, X0 M27 8LN
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares
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5/22/2019
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M
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2800
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A
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(1)
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11857
(2)
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D
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Ordinary Shares
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5/22/2019
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M
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2160
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A
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(1)
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14017
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D
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Ordinary Shares
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5/22/2019
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M
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2800
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A
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(1)
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16817
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D
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Ordinary Shares
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5/22/2019
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M
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4000
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A
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(1)
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20817
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D
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Ordinary Shares
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5/22/2019
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M
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4000
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A
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(1)
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24817
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D
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Ordinary Shares
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5/22/2019
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M
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1470
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A
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(1)
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26287
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D
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Ordinary Shares
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5/22/2019
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M
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935
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A
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(1)
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27222
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D
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Ordinary Shares
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5/22/2019
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F
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8792
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D
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$25.67
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18430
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D
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Ordinary Shares
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7520
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I
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By Spouse
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options (Right to Buy)
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(1)
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5/22/2019
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M
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2800
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(3)
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6/5/2020
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Ordinary Shares
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2800
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(1)
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0
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D
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Stock Options (Right to Buy)
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(1)
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5/22/2019
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M
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2160
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(3)
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3/21/2021
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Ordinary Shares
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2160
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(1)
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0
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D
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Stock Options (Right to Buy)
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(1)
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5/22/2019
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M
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2800
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(5)
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3/22/2022
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Ordinary Shares
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2800
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(1)
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1400
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D
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Stock Options (Right to Buy)
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(1)
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5/22/2019
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M
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4000
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(6)
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3/22/2022
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Ordinary Shares
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4000
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(1)
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2000
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D
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Stock Options (Right to Buy)
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(1)
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5/22/2019
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M
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4000
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(7)
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3/22/2023
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Ordinary Shares
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4000
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(1)
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8000
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D
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Stock Options (Right to Buy)
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(1)
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5/22/2019
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M
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1470
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(8)
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3/26/2023
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Ordinary Shares
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1470
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(1)
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2940
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D
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Dividend Equivalent Rights
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(4)
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5/22/2019
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M
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935
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(4)
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(4)
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Ordinary Shares
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935
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(4)
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632
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D
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Explanation of Responses:
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(1)
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1 for 1, subject to a nominal payment of 50 pence per Ordinary Share.
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(2)
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Includes 17 additional shares acquired from dividend reinvestment transactions.
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(3)
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Option fully vested.
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(4)
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Represents dividend equivalent rights accrued on employee stock options and become exercisable proportionately with the options to which they relate. Each dividend equivalent right is the economic equivalent of one Ordinary Share, subject to a nominal payment of 50 pence per Ordinary Share.
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(5)
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The remaining options vest on March 21, 2020.
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(6)
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The remaining options vest on March 22, 2020.
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(7)
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The remaining options vest in two remaining equal annual installments beginning on March 23, 2020.
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(8)
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The remaining options vest in two remaining equal annual installments beginning on March 26, 2020.
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Remarks:
Managing Director, Luxfer MEL Technologies
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Wardlow Graham
LUXFER HOLDINGS PLC
LUMNS LANE
MANCHESTER, X0 M27 8LN
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See Remarks
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Signatures
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/s/ Jamie M. Savage under Power of Attorney for Graham Wardlow
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5/23/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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