Form 4 for LXFR LUXFER HOLDINGS PLC
Accepted 2023-03-15 00:00:00 ET · period of report 2023-03-13 · accession 0001761420-23-000001 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-03-15 | 2023-03-13+ | LXFR | Butcher Andrew | CEO, Dir | M - OptEx | — | +12.6K | 120.2K | +12% | — |
| DM | 2023-03-15 | 2023-03-13+ | LXFR | Butcher Andrew | CEO, Dir | F - Tax | $15.45 | -6,835 | 116.7K | -6% | -$105.6K |
| DM | 2023-03-15 | 2023-03-13+ | LXFR | Butcher Andrew | CEO, Dir | M - OptEx | — | -12.6K | 19.4K | -39% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Ordinary Shares | 2023-03-13 | M | A | 2,125 | — | 113,069 | D | — | — | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. (F2) Includes 437 Ordinary Shares acquired pursuant to the Luxfer Holdings PLC Employee Stock Purchase Plan (the "ESPP") for the purchase periods of December 27, 2021 - June 14, 2022 and June 15, 2022 - December 20, 2022. These transactions are exempt pursuant to Rule 16b-3(c). In accordance with the ESPP, these Ordinary Shares were purchased at a price equal to 85% of the closing price of the Issuer's Ordinary Shares on June 14, 2022 and December 20, 2022 respectively. |
| 2 | Common | Ordinary Shares | 2023-03-14 | M | A | 990 | — | 114,265 | D | — | — | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| 3 | Common | Ordinary Shares | 2023-03-14 | F | D | 538 | $15.52 | 113,727 | D | — | — | |
| 4 | Common | Ordinary Shares | 2023-03-14 | F | D | 676 | $15.52 | 113,275 | D | — | — | |
| 5 | Common | Ordinary Shares | 2023-03-14 | M | A | 1,244 | — | 113,951 | D | — | — | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| 6 | Common | Ordinary Shares | 2023-03-13 | F | D | 948 | $15.30 | 112,707 | D | — | — | |
| 7 | Common | Ordinary Shares | 2023-03-13 | M | A | 1,742 | — | 113,655 | D | — | — | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| 8 | Common | Ordinary Shares | 2023-03-13 | F | D | 1,156 | $15.30 | 111,913 | D | — | — | |
| 9 | Common | Ordinary Shares | 2023-03-14 | F | D | 3,517 | $15.52 | 116,681 | D | — | — | |
| 10 | Common | Ordinary Shares | 2023-03-14 | M | A | 6,471 | — | 120,198 | D | — | — | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. |
| 11 | Derivative | Restricted Stock Units | 2023-03-13 | M | D | 2,125 | — | 2,128 | D | — · — to — | 2,125 Ordinary Shares | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. (F4) The amount above includes 193 additional Restricted Stock Units accrued related to dividend reinvestment rights. (F3) The remaining Restricted Stock Units vest on March 13, 2024. The amount above includes 190 additional Restricted Stock Units accrued related to dividend reinvestment rights. |
| 12 | Derivative | Restricted Stock Units | 2023-03-13 | M | D | 1,742 | — | 1,743 | D | — · — to — | 1,742 Ordinary Shares | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. (F5) Represents the grant and partial vesting of performance-based Restricted Stock Units (at 50% target) awarded on March 13, 2020. One half of the performance-based Restricted Stock Units vested on March 13, 2023 upon the achievement of relative Total Shareholder Return (TSR) goals for the three-year performance period ended December 31, 2022. The remaining balance will vest on March 13, 2024. |
| 13 | Derivative | Restricted Stock Units | 2023-03-14 | M | D | 1,244 | — | 0 | D | — · — to — | 1,244 Ordinary Shares | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. (F6) The Restricted Stock Units are fully vested. The amount above includes 144 additional Restricted Stock Units accrued related to dividend reinvestment rights. |
| 14 | Derivative | Restricted Stock Units | 2023-03-14 | M | D | 990 | — | 0 | D | — · — to — | 990 Ordinary Shares | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. (F7) Represents the vesting of performance-based Restricted Stock Units (at 50% target) awarded on March 14, 2019. One half of the performance-based Restricted Stock Units vested on March 14, 2022 upon the achievement of relative Total Shareholder Return (TSR) goals for the three-year performance period ended December 31, 2021. The remaining balance vested on March 14, 2023. |
| 15 | Derivative | Restricted Stock Units | 2023-03-14 | M | D | 6,471 | — | 19,425 | D | — · — to — | 6,471 Ordinary Shares | (F1) Restricted Stock Units convert 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share. (F9) The amount above includes 525 additional Restricted Stock Units accrued related to dividend reinvestment rights. (F8) The remaining Restricted Stock Units vest in three equal annual installments beginning on March 14, 2024. The amount above includes 171 additional Restricted Stock Units accrued related to dividend reinvestment rights. |