Luxfer Form 4 / Graham Wardlow ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Wardlow Graham

(Last)

(First)

(Middle)

LUXFER HOLDINGS PLC

LUMNS LANE

(Street)

MANCHESTER

M27 8LN

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
LUXFER HOLDINGS PLC [ LXFR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
See Remarks

3. Date of Earliest Transaction (Month/Day/Year)
06/08/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Ordinary Shares	06/08/2020		M		1,400	A	⁽¹⁾	20,521⁽²⁾	D
Ordinary Shares	06/08/2020		M		132	A	⁽¹⁾	20,653	D
Ordinary Shares	06/08/2020		F		754	D	$15.45	19,899	D
Ordinary Shares	06/08/2020		M		2,000	A	⁽¹⁾	21,899	D
Ordinary Shares	06/08/2020		M		191	A	⁽¹⁾	22,090	D
Ordinary Shares	06/08/2020		F		1,078	D	$15.45	21,012	D
Ordinary Shares	06/08/2020		M		4,000	A	⁽¹⁾	25,012	D
Ordinary Shares	06/08/2020		M		217	A	⁽¹⁾	25,229	D
Ordinary Shares	06/08/2020		F		2,074	D	$15.45	23,155	D
Ordinary Shares	06/08/2020		M		1,470	A	⁽¹⁾	24,625	D
Ordinary Shares	06/08/2020		M		79	A	⁽¹⁾	24,704	D
Ordinary Shares	06/08/2020		F		762	D	$15.45	23,942	D
Ordinary Shares	06/08/2020		M		2,640	A	⁽¹⁾	26,582	D
Ordinary Shares	06/08/2020		M		70	A	⁽¹⁾	26,652	D
Ordinary Shares	06/08/2020		F		1,333	D	$15.45	25,319	D
Ordinary Shares	06/08/2020		M		800	A	⁽³⁾	26,119	D
Ordinary Shares	06/08/2020		M		21	A	⁽³⁾	26,140	D
Ordinary Shares	06/08/2020		F		415	D	$15.45	25,725	D
Ordinary Shares								7,520	I	By spouse

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Options (Right to Buy)	⁽¹⁾	06/08/2020		M			1,400	⁽⁴⁾	03/21/2022	Ordinary Shares	1,400	⁽¹⁾	0	D
Dividend Equivalent Rights	⁽⁵⁾	06/08/2020		M			132	⁽⁵⁾	⁽⁵⁾	Ordinary Shares	132	⁽⁵⁾	0	D
Stock Options (Right to Buy)	⁽¹⁾	06/08/2020		M			2,000	⁽⁴⁾	03/23/2022	Ordinary Shares	2,000	⁽¹⁾	0	D
Dividend Equivalent Rights	⁽⁵⁾	06/08/2020		M			191	⁽⁵⁾	⁽⁵⁾	Ordinary Shares	191	⁽⁵⁾	0	D
Stock Options (Right to Buy)	⁽¹⁾	06/08/2020		M			4,000	⁽⁶⁾	03/23/2023	Ordinary Shares	4,000	⁽¹⁾	4,000	D
Dividend Equivalent Rights	⁽⁵⁾	06/08/2020		M			217	⁽⁵⁾	⁽⁵⁾	Ordinary Shares	217	⁽⁵⁾	259	D
Stock Options (Right to Buy)	⁽¹⁾	06/08/2020		M			1,470	⁽⁷⁾	03/26/2023	Ordinary Shares	1,470	⁽¹⁾	1,470	D
Dividend Equivalent Rights	⁽⁵⁾	06/08/2020		M			79	⁽⁵⁾	⁽⁵⁾	Ordinary Shares	79	⁽⁵⁾	93	D
Stock Options (Right to Buy)	⁽¹⁾	06/08/2020		M			2,640	⁽⁷⁾	⁽⁸⁾	Ordinary Shares	2,640	⁽¹⁾	2,640	D
Dividend Equivalent Rights	⁽⁵⁾	06/08/2020		M			70	⁽⁵⁾	⁽⁵⁾	Ordinary Shares	70	⁽⁵⁾	100	D
Stock Options (Right to Buy)	⁽³⁾	06/08/2020		M			800	⁽⁹⁾	03/14/2025	Ordinary Shares	800	⁽³⁾	2,400	D
Dividend Equivalent Rights	⁽¹⁰⁾	06/08/2020		M			21	⁽¹⁰⁾	⁽¹⁰⁾	Ordinary Shares	21	⁽¹⁰⁾	89	D

Explanation of Responses:

1. 1 for 1 subject to a nominal payment of 50 pence per Ordinary Share.

2. Includes 368 additional shares acquired from dividend reinvestment transactions and 323 additional shares pursuant to the company share investment plan.

3. 1 for 1, subject to a nominal payment of $1.00 per Ordinary Share.

4. These options are fully vested and exercised.

5. 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.

6. The remaining options vest on March 23, 2021.

7. The remaining options vest on March 26, 2021.

8. These options expire on March 26, 2023.

9. The remaining options vest in three equal instalments beginning on March 14, 2021.

10. 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 $1.00 per Ordinary Share.

Remarks:

	/s/ Jamie M. Savage under Power of Attorney for Graham Wardlow	06/09/2020
	** 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 Number.

Luxfer (LXFR) Form 4LUXFER / Graham Wardlow ownership change