Statement of Changes in Beneficial Ownership (4)
2023年5月17日 - 7:38AM
Edgar (US Regulatory)
FORM 4
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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
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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
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Wardlow Graham |
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 |
(Last)
(First)
(Middle)
LUXFER HOLDINGS PLC, LUMNS LANE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/15/2023 |
(Street)
MANCHESTER, X0 M27 8LN |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 | 5/15/2023 | | M | | 800 | A | (1) | 27280 (9) | D | |
Ordinary Shares | 5/15/2023 | | M | | 110 | A | (3) | 27390 | D | |
Ordinary Shares | 5/15/2023 | | M | | 1285 | A | (1) | 28675 | D | |
Ordinary Shares | 5/15/2023 | | M | | 133 | A | (3) | 28808 | D | |
Ordinary Shares | 5/15/2023 | | M | | 800 | A | (1) | 29608 | D | |
Ordinary Shares | 5/15/2023 | | M | | 45 | A | (3) | 29653 | D | |
Ordinary Shares | 5/15/2023 | | M | | 1000 | A | (1) | 30653 | D | |
Ordinary Shares | 5/15/2023 | | M | | 32 | A | (3) | 30685 | D | |
Ordinary Shares | 5/15/2023 | | M | | 720 | A | (1) | 31405 | D | |
Ordinary Shares | 5/15/2023 | | M | | 1280 | A | (1) | 32685 | D | |
Ordinary Shares | 5/15/2023 | | F | | 3177 | D | $14.46 | 29508 | D | |
Ordinary Shares | | | | | | | | 7520 | I | By Spouse |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (Right to Buy) | (1) | 5/15/2023 | | M | | | 800 | (2) | 3/14/2025 | Ordinary Shares | 800 | (1) | 0 | D | |
Dividend Equivalent Rights | (3) | 5/15/2023 | | M | | | 110 | (3) | 3/14/2025 | Ordinary Shares | 110 | (3) | 0 | D | |
Stock Options (Right to Buy) | (1) | 5/15/2023 | | M | | | 1285 | (4) | 3/13/2026 | Ordinary Shares | 1285 | (1) | 1285 | D | |
Dividend Equivalent Rights | (3) | 5/15/2023 | | M | | | 133 | (3) | 3/13/2026 | Ordinary Shares | 133 | (3) | 131 | D | |
Stock Options (Right to Buy) | (1) | 5/15/2023 | | M | | | 800 | (5) | 3/15/2027 | Ordinary Shares | 800 | (1) | 1600 | D | |
Dividend Equivalent Rights | (3) | 5/15/2023 | | M | | | 45 | (3) | 3/15/2027 | Ordinary Shares | 45 | (3) | 97 | D | |
Stock Options (Right to Buy) | (1) | 5/15/2023 | | M | | | 1000 | (6) | 3/14/2028 | Ordinary Shares | 1000 | (1) | 3000 | D | |
Dividend Equivalent Rights | (3) | 5/15/2023 | | M | | | 32 | (3) | 3/14/2028 | Ordinary Shares | 32 | (3) | 102 | D | |
Stock Options (Right to Buy) | (1) | 5/15/2023 | | M | | | 720 | (7) | 3/14/2025 | Ordinary Shares | 720 | (1) | 0 | D | |
Stock Options (Right to Buy) | (1) | 5/15/2023 | | M | | | 1280 | (8) | 3/15/2027 | Ordinary Shares | 1280 | (1) | 2560 | D | |
Explanation of Responses: |
(1) | 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
(2) | The Stock Options vested in four equal annual installments beginning on March 14, 2020. The Stock Options are fully vested and exercised. |
(3) | Represents Dividend Equivalent Rights accrued on employee stock options, which become exercisable proportionately with the Stock Options to which they relate. Each Dividend Equivalent Right is the economic equivalent of one Ordinary Share. Dividend Equivalent Rights convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
(4) | The remaining Stock Options vest on March 13, 2024. |
(5) | The remaining Stock Options vest in two equal annual installments on March 15, 2024 and March 15, 2025. |
(6) | The remaining Stock Options vest in three equal annual installments beginning on March 14, 2024. |
(7) | Represents the exercise of vested, performance-based Stock Options (at 50% target) awarded on March 14, 2019. The performance-based Stock Options were granted on March 14, 2022 upon the achievement of relative Total Shareholder Return (TSR) goals for the three-year performance period ended December 31, 2021. One-half of the performance-based Stock Options vested on March 14, 2022, and the remaining balance vested on March 14, 2023. The performance-based Stock Options are fully vested and exercised. |
(8) | Represents the exercise of vested, performance-based Stock Options (at 200% target) awarded on March 15, 2021. The performance-based Stock Options were granted on March 15, 2023 upon the achievement of an adjusted diluted EPS performance metric for the performance period ended December 31, 2021. One-third of the performance-based Stock Options, being 1,280 Stock Options, vested on March 15, 2023. The remaining performance-based Stock Options will vest in two equal annual installments on March 15, 2024 and March 15, 2025. |
(9) | Includes 699 Ordinary Shares acquired since the Reporting Person's last reportable transaction pursuant to the Luxfer Holdings PLC Share Incentive Plan and the automatic dividend reinvestment feature of the Luxfer Holdings PLC Long Term Umbrella Incentive Plan. |
Remarks: Managing Director, Luxfer MEL Technologies |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
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/ Megan E. Glise under Power of Attorney for Graham Wardlow | | 5/16/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |
Luxfer (NYSE:LXFR)
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から 6 2024 まで 7 2024
Luxfer (NYSE:LXFR)
過去 株価チャート
から 7 2023 まで 7 2024