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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 5.57 | 02/18/2015 | A | 19,881 (1) | 02/18/2015 | 02/21/2021 | Common Stock | 19,881 | $ 0 | 137,406 | D | ||||
Stock Option (Right to Buy) | $ 5.57 | 02/18/2015 | A | 1,749 (1) | 02/18/2015 | 02/21/2021 | Common Stock | 1,749 | $ 0 | 139,155 | D | ||||
Stock Option (Right to Buy) | $ 5.74 | 02/18/2015 | A | 16,563 (2) | 02/18/2015 | 01/26/2021 | Common Stock | 16,563 | $ 0 | 79,207 | D | ||||
Stock Option (Right to Buy) | $ 5.74 | 02/18/2015 | A | 22,443 (2) | 02/18/2015 | 01/26/2021 | Common Stock | 22,443 | $ 0 | 101,650 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OLSON MARK A C/O COMMSCOPE HOLDING COMPANY, INC., 1100 COMMSCOPE PLACE, SE HICKORY, NC 28602 |
EVP and CFO |
/s/Frank B. Wyatt, II, under a Power of Attorney | 02/20/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On February 21, 2012, the reporting person was granted an option to purchase 79,518 shares of common stock, which vests in four equal annual installments based on the Company's satisfaction of certain performance criteria for each of the fiscal years ending December 31, 2012, 2013, 2014 and 2015. The performance criteria for 2014 were exceeded, resulting in vesting of the option as to a total of 21,630 shares (19,881 shares relating to 2014 and, due to the application of the option's catch-up vesting provision, 1,749 shares relating to 2012). |
(2) | On January 26, 2011, the reporting person was granted an option to purchase 82,815 shares of common stock, which vests in five equal annual installments based on the Company's satisfaction of certain performance criteria for each of the fiscal years ending December 31, 2011, 2012, 2013, 2014 and 2015. The performance criteria for 2014 were exceeded, resulting in vesting of the option as to a total of 39,006 shares (16,563 shares relating to 2014 and, due to the application of the option's catch-up vesting provision, 16,563 shares relating to 2011 and 5,880 shares relating to 2012). |