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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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) | ||
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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 Options (Right to Buy) | (1) | 03/20/2024 | M | 750 | (3) | 03/13/2026 | Ordinary Shares | 750 | (1) | 0 | D | ||||
| Dividend Equivalent Rights | (4) | 03/20/2024 | M | 127 | (4) | 03/13/2026 | Ordinary Shares | 127 | (4) | 0 | D | ||||
| Stock Options (Right to Buy) | (1) | 03/20/2024 | M | 1,000 | (5) | 03/14/2028 | Ordinary Shares | 1,000 | (1) | 2,000 | D | ||||
| Dividend Equivalent Rights | (4) | 03/20/2024 | M | 78 | (4) | 03/14/2028 | Ordinary Shares | 78 | (4) | 165 | D | ||||
| Stock Options (Right to Buy) | (1) | 03/20/2024 | M | 800 | (6) | 03/15/2027 | Ordinary Shares | 800 | (1) | 800 | D | ||||
| Dividend Equivalent Rights | (4) | 03/20/2024 | M | 87 | (4) | 03/15/2027 | Ordinary Shares | 87 | (4) | 92 | D | ||||
| Stock Options (Right to Buy) | (1) | 03/20/2024 | M | 1,070 | (7) | 03/20/2029 | Ordinary Shares | 1,070 | (1) | 3,210 | D | ||||
| Dividend Equivalent Rights | (4) | 03/20/2024 | M | 51 | (4) | 03/20/2029 | Ordinary Shares | 51 | (4) | 160 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Webster Stephen LUXFER HOLDINGS PLC LUMNS LANE MANCHESTER, X0 M27 8LN |
Chief Financial Officer | |||
| /s/ Megan E. Glise under Power of Attorney for Stephen Webster | 03/21/2024 | |
| **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) | 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| (2) | The above figure includes (i) 231 Ordinary Shares, including those accrued related to dividend reinvestment rights, acquired pursuant to the Luxfer Holdings PLC Share Incentive Plan for the purchase period of June 1, 2023 - December 31, 2023; and (ii) 255 Ordinary Shares acquired since the Reporting Person's last reportable transaction pursuant to dividend reinvestment transactions. |
| (3) | Represents the exercise of time-based Stock Options awarded on March 13, 2020. The subject Stock Options fully vested and were exercisable as of March 13, 2024. |
| (4) | 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. The subject dividend equivalent rights convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| (5) | Represents the exercise of time-based Stock Options awarded on March 14, 2022. The subject Stock Options vested and were exercisable as of March 14, 2024. The remaining Stock Options vest and become exercisable in two equal annual installments on March 14, 2025 and March 14, 2026. |
| (6) | Represents the exercise of time-based Stock Options awarded on March 15, 2021. The subject Stock Options vested and were exercisable as of March 15, 2024. The remaining Stock Options vest and become exercisable on March 15, 2025. |
| (7) | Represents the exercise of time-based Stock Options awarded on March 20, 2023. The subject Stock Options vested and were exercisable as of March 20, 2024. The remaining Stock Options vest in three equal annual installments beginning on March 20, 2025. |