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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol CF Industries Holdings, Inc. [ CF ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 08/05/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common stock, par value $0.01 per share | 08/05/2019 | M | 33,500 | A | $16.406 | 127,998 | D | |||
Common stock, par value $0.01 per share | 08/05/2019 | M | 34,000 | A | $13.408 | 161,998 | D | |||
Common stock, par value $0.01 per share | 08/05/2019 | M | 33,000 | A | $16.26 | 194,998 | D | |||
Common stock, par value $0.01 per share | 08/05/2019 | S | 98,878 | D | $50.73(1) | 96,120 | D | |||
Common stock, par value $0.01 per share | 08/05/2019 | S | 1,622 | D | $51.52(2) | 94,498 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $16.406(3) | 08/05/2019 | M | 33,500 | (4) | 08/10/2019 | Common Stock, par value $0.01 per share | 33,500 | $0 | 0 | D | ||||
Employee Stock Option (right to buy) | $13.408(5) | 08/05/2019 | M | 34,000 | 05/25/2013(6) | 05/25/2020 | Common Stock, par value $0.01 per share | 34,000 | $0 | 0 | D | ||||
Employee Stock Option (right to buy) | $16.26(7) | 08/05/2019 | M | 33,000 | (8) | 08/10/2020 | Common Stock, par value $0.01 per share | 33,000 | $0 | 0 | D |
Explanation of Responses: |
1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.515 to $51.485, inclusive. The reporting person undertakes to provide to CF Industries Holdings, Inc., any security holder of CF Industries Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within that range. |
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.515 to $51.530, inclusive. The reporting person undertakes to provide to CF Industries Holdings, Inc., any security holder of CF Industries Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within that range. |
3. This employee stock option was last reported as covering 6,700 shares of common stock at an exercise price of $82.03, but has been adjusted to reflect the 5-for-1 stock split that occurred on June 17, 2015. |
4. The options vested in three equal installments on August 10, 2010, 2011 and 2012 and were scheduled to expire on August 10, 2019. |
5. This employee stock option was last reported as covering 6,800 shares of common stock at an exercise price of $67.04, but has been adjusted to reflect the 5-for-1 stock split that occurred on June 17, 2015. |
6. The options cliff vested on May 25, 2013 and were scheduled to expire on May 25, 2020. |
7. This employee stock option was last reported as covering 6,600 shares of common stock at an exercise price of $81.30, but has been adjusted to reflect the 5-for-1 stock split that occurred on June 17, 2015. |
8. The options vested in three equal installments on August 10, 2011, 2012 and 2013 and were scheduled to expire on August 10, 2020. |
/s/ Douglas C. Barnard | 08/06/2019 | |
** 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. |