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			Form 8-K - 10b5-1 Plans - O'Brien and Schwartz
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			<font style="display: inline;font-weight:bold;font-size:18pt;">UNITED STATES</font>
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			<font style="display: inline;font-weight:bold;font-size:18pt;">SECURITIES AND EXCHANGE COMMISSION</font>
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			<font style="display: inline;font-weight:bold;">Washington, D.C. 20549</font>
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			<font style="display: inline;">&nbsp;</font>
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			<font style="display: inline;font-weight:bold;font-size:18pt;">FORM&nbsp;8-K</font>
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			<font style="display: inline;">&nbsp;</font>
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			<font style="display: inline;font-weight:bold;">CURRENT REPORT</font><br /><font style="display: inline;font-weight:bold;">Pursuant to Section&nbsp;13 OR 15(d)&nbsp;of </font><br /><font style="display: inline;font-weight:bold;">The Securities Exchange Act of 1934</font>
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			<font style="display: inline;">Date of Report (Date of earliest event reported):</font><font style="display: inline;font-weight:bold;">&nbsp;</font><font style="display: inline;font-weight:bold;">August 10</font><font style="display: inline;font-weight:bold;">, 2020</font>
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			<font style="display: inline;font-weight:bold;font-size:18pt;">Anterix Inc.</font>
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			<font style="display: inline;">(Exact name of registrant as specified in its charter)</font>
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						<font style="display: inline;font-weight:bold;">Delaware</font></p>
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						<font style="display: inline;font-weight:bold;">001-36827</font></p>
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						<font style="display: inline;">&nbsp;</font></p>
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						<font style="display: inline;font-weight:bold;">33-0745043</font></p>
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						<font style="display: inline;">(State or other jurisdiction </font></p>
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						<font style="display: inline;">(Commission File Number)</font></p>
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						<font style="display: inline;">(IRS Employer</font></p>
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						<font style="display: inline;">of incorporation)</font></p>
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						<font style="display: inline;">Identification No.)</font></p>
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					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">3 Garret Mountain Plaza</font></p>
					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">Suite 401</font></p>
					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">Woodland Park, NJ</font></p>
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						<font style="display: inline;">&nbsp;</font></p>
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						&nbsp;</p>
					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">07424</font></p>
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						<font style="display: inline;">(Address of principal executive offices)</font></p>
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						<font style="display: inline;">&nbsp;</font></p>
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						<font style="display: inline;">(Zip Code)</font></p>
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			<font style="display: inline;">&#xFEFF;</font>
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			<font style="display: inline;">&#xFEFF;</font>
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		<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;font-weight:bold;">(973) 771-0300</font><br /><font style="display: inline;font-weight:bold;"></font><font style="display: inline;">Registrant&#x2019;s telephone number,&nbsp;including area code</font>
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		<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">&nbsp;</font>
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		<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;font-weight:bold;">Not applicable</font>
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		<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">(Former name or former address, if changed since last report)</font>
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			<font style="display: inline;">&nbsp;</font>
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			<font style="display: inline;">Check the appropriate box below if the Form&nbsp;8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</font>
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			<font style="display: inline;">&nbsp;</font>
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			<font style="display: inline;">&#x2610;</font><font style="display: inline;">&nbsp;&nbsp;&nbsp; Written communications pursuant to Rule&nbsp;425 under the Securities Act (17 CFR 230.425)</font>
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			<font style="display: inline;">&#x2610;</font><font style="display: inline;">&nbsp;&nbsp;&nbsp; Soliciting material pursuant to Rule&nbsp;14a-12 under the Exchange Act (17 CFR 240.14a-12(b))</font>
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		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">&#x2610;</font><font style="display: inline;">&nbsp;&nbsp;&nbsp; Pre-commencement communications pursuant to Rule&nbsp;14d-2(b)&nbsp;under the Exchange Act (17 CFR 240.14d-2(b))</font>
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		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<a name="_Hlk37011583"></a><font style="display: inline;">&#x2610;</font><font style="display: inline;">&nbsp;&nbsp;&nbsp; Pre-commencement communications pursuant to Rule&nbsp;13e-4(c)&nbsp;under the Exchange Act (17 CFR 240.13e-4(c))</font>
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			<font style="display: inline;">&#xFEFF;</font>
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			<font style="display: inline;color:#000000;">Securities registered pursuant to Section&nbsp;12(b)&nbsp;of the Act:</font>
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						&nbsp;</p>
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						&nbsp;</p>
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						&nbsp;</p>
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					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;">Title of each class</font></p>
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						<font style="display: inline;">Trading symbol</font></p>
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					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;">Name of Each Exchange on which registered</font></p>
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					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">Common Stock, $0.0001 par value</font></p>
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						<font style="display: inline;font-weight:bold;">ATEX </font></p>
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					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">The Nasdaq Stock Market LLC </font></p>
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						<font style="display: inline;">&#xFEFF;</font></p>
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					<p style="margin:0pt;text-align:center;line-height:100%;font-family:Times New Roman;font-size: 10pt">
						&nbsp;</p>
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		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">&#xFEFF;</font>
		</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (&#xA7;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#xA7;240.12b-2 of this chapter). </font>
		</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">Emerging growth company </font><font style="display: inline;">&#x2610;</font>
		</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">&#xFEFF;</font>
		</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. </font><font style="display: inline;">&nbsp;</font><font style="display: inline;">&#x2610;</font>
		</p>
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</div><hr size="3" style="color:#999999" width="100%" align="center"></hr><p style="page-break-after:always">&nbsp;</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;;font-size: 10pt"><font style="text-indent:0pt;margin-left:0pt; padding-right:9pt;"><font style="display: inline;font-weight:bold;color:#000000;">Item 8.01&nbsp; </font></font><font style="text-indent:0pt;margin-left:0pt; padding-right:4pt;text-align:left"><font style="display: inline;font-weight:bold;color:#000000;">Other Events.</font></font>
		</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">&#xFEFF;</font>
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		<p style="margin:6pt 0pt 12pt;background-color: #FFFFFF;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;color:#212529;">Anterix Inc. (the &#x201C;Company&#x201D;) has filed this Current Report on Form 8-K to report that Morgan O&#x2019;Brien, the Company&#x2019;s Executive Chairman, and Robert Schwartz, the Company&#x2019;s President &amp; Chief Executive Officer, each adopted a stock trading plan in accordance with Rule&nbsp;10b5-1&nbsp;of the Securities Exchange Act of 1934, as amended, and the Company&#x2019;s policies regarding stock transactions by directors, executive officers and other employees. </font>
		</p>
		<p style="margin:6pt 0pt 0pt;background-color: #FFFFFF;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;color:#212529;">Under Rule&nbsp;10b5-1,&nbsp;directors, officers and other employees who are not in possession of material&nbsp;non-public&nbsp;information may adopt a&nbsp;pre-arranged&nbsp;plan or contract for the sale of company securities under specified conditions and at specified times. Using these&nbsp;10b5-1&nbsp;plans, individuals can gradually diversify their assets and investment portfolios, spread stock trades out over an extended period to reduce market impact and avoid concerns about transactions occurring during a blackout period or otherwise at a time when they might possess material&nbsp;non-public&nbsp;information.</font>
		</p>
		<p style="margin:12pt 0pt 0pt;background-color: #FFFFFF;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;color:#212529;">Mr.&nbsp;O&#x2019;Brien&#x2019;s&nbsp;10b5-1&nbsp;plan, established on June 9, 2020, provides for the sale of up to 123,574 shares over a twelve (12) month period through the exercise of stock options and the sale of restricted stock units. Shares may be sold under Mr.&nbsp;O&#x2019;Brien&#x2019;s plan on the open market at prevailing market prices and subject to minimum price thresholds specified in his plan.&nbsp;&nbsp;Mr. O&#x2019;Brien has informed the Company that he established this plan as part of his overall retirement planning efforts.&nbsp;&nbsp;Mr. O&#x2019;Brien, who joined the Company in April 2012, has not previously sold or cancelled any shares of common stock other than to cover his tax obligations upon the vesting of restricted stock units.&nbsp;&nbsp;Based on this plan, Mr. O&#x2019;Brien will continue to remain in compliance with the Company&#x2019;s Stock Ownership Guidelines, and to hold, or have a beneficial interest in, more than a majority of his current holdings and interests in the Company&#x2019;s common stock.&nbsp;&nbsp;In addition to the shares that may be sold pursuant to Mr. O&#x2019;Brien&#x2019;s 10b5-1 plan, Mr. O&#x2019;Brien holds 14,470 shares of the Company&#x2019;s common stock, performance-based and time-based stock options exercisable for up to 342,872 shares of the Company&#x2019;s common stock and performance-based and time-based restricted stock units for up to 120,939 shares of the Company&#x2019;s common stock. </font>
		</p>
		<p style="margin:12pt 0pt 0pt;background-color: #FFFFFF;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;color:#212529;">Mr.&nbsp;Schwartz&#x2019;s&nbsp;10b5-1&nbsp;plan, established on June 14, 2020, provides for the sale of up to 95,652 shares over a twelve (12) month period through the exercise of stock options and the sale of restricted stock units. Shares may be sold under Mr.&nbsp;Schwartz&#x2019;s plan on the open market at prevailing market prices and subject to minimum price thresholds specified in his plan.&nbsp;&nbsp;Mr. Schwartz has informed the Company that he established this plan for the purposes of diversification of his assets given his concentration in the Company&#x2019;s stock.&nbsp;&nbsp;Mr. Schwartz, who joined the Company in August 2015, has not previously sold or cancelled any shares of common stock other than to cover his tax obligations upon the vesting of restricted stock units.&nbsp;&nbsp;Based on this plan, Mr. Schwartz will continue to remain in compliance with the Company&#x2019;s Stock Ownership Guidelines, and will continue to hold, or have a beneficial interest in, more than a majority of his current holdings and interests in the Company&#x2019;s common stock.&nbsp;&nbsp;In addition to the shares that may be sold pursuant to Mr. Schwartz&#x2019;s 10b5-1 plan, Mr. Schwartz holds 4,605 shares of the Company&#x2019;s common stock, performance-based and time-based stock options exercisable for 214,322 shares of the Company&#x2019;s common stock and performance-based and time-based restricted stock units for 68,542 shares of the Company&#x2019;s common stock. </font>
		</p>
		<p style="margin:12pt 0pt 0pt;background-color: #FFFFFF;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;color:#212529;">Transactions under each of the&nbsp;10b5-1&nbsp;plans will be reported to the Securities and Exchange Commission in accordance with applicable securities laws, rules and regulations.&nbsp;&nbsp;The Company does not undertake to report Rule&nbsp;10b5-1&nbsp;plans that may be adopted by any officers or directors in the future, or to report any modifications or termination of any publicly announced trading plan, except to the extent required by law.</font>
		</p>
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			<font style="display: inline;font-size:1pt;">&#xFEFF;</font>
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			<font style="display: inline;font-weight:bold;">SIGNATURES</font>
		</p>
		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 10pt">
			<font style="display: inline;">Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.</font>
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						<font style="display: inline;">&nbsp; &nbsp;</font></p>
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					<p style="margin:0pt;line-height:106.67%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;font-weight:bold;">Anterix Inc.</font></p>
				</td>
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						<font style="display: inline;">&nbsp; &nbsp;</font></p>
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				<td valign="top" style="width:47.00%;padding:0pt;">
					<p style="margin:0pt;line-height:106.67%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;">&nbsp; &nbsp;</font></p>
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				<td valign="top" style="width:53.00%;padding:0pt;">
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						<font style="display: inline;">&nbsp; &nbsp;</font></p>
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					<p style="margin:0pt;line-height:106.67%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;">Date: August 10, 2020</font></p>
				</td>
				<td valign="top" style="width:53.00%;padding:0pt;">
					<p style="margin:0pt;line-height:106.67%;border-bottom:1pt solid #000000 ;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;">/s/</font><font style="display: inline;"> Gena L. Ashe</font><font style="display: inline;"></font></p>
				</td>
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					<p style="margin:0pt;line-height:106.67%;font-family:Times New Roman;font-size: 10pt">
						<font style="display: inline;">Gena L. Ashe</font></p>
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						<font style="display: inline;">General Counsel and Corporate Secretary</font></p>
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{"company-data": {"conformed-name": "Anterix Inc.", "cik": "0001304492", "assigned-sic": "4813", "irs-number": "330745043", "state-of-incorporation": "DE", "fiscal-year-end": "0331"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-36827", "film-number": "201089520"}, "business-address": {"street1": "3 GARRET MOUNTAIN PLAZA", "street2": "SUITE 401", "city": "WOODLAND PARK", "state": "NJ", "zip": "07424", "phone": "(973) 771-0300"}, "mail-address": {"street1": "3 GARRET MOUNTAIN PLAZA", "street2": "SUITE 401", "city": "WOODLAND PARK", "state": "NJ", "zip": "07424"}, "former-company": [{"former-conformed-name": "pdvWireless, Inc.", "date-changed": "20151105"}, {"former-conformed-name": "Pacific DataVision, Inc.", "date-changed": "20140616"}, {"former-conformed-name": "Pacific Data Vision", "date-changed": "20040928"}]}
Form 8-K - 10b5-1 Plans - O'Brien and Schwartz
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
August 10
, 2020
Anterix Inc.
(Exact name of registrant as specified in its charter)
﻿
Delaware
001-36827
33-0745043
(State or other jurisdiction
(Commission File Number)
(IRS Employer
of incorporation)
Identification No.)
﻿
3 Garret Mountain Plaza
Suite 401
Woodland Park, NJ
07424
(Address of principal executive offices)
(Zip Code)
﻿
﻿
(973) 771-0300
Registrant's telephone number, including area code
Not applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12(b))
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
﻿
Securities registered pursuant to Section 12(b) of the Act:
﻿
﻿
Title of each class
Trading symbol
Name of Each Exchange on which registered
Common Stock, $0.0001 par value
ATEX
The Nasdaq Stock Market LLC
﻿
﻿
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☐
﻿
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
﻿
﻿
﻿
﻿
Item 8.01
Other Events.
﻿
Anterix Inc. (the "Company") has filed this Current Report on Form 8-K to report that Morgan O'Brien, the Company's Executive Chairman, and Robert Schwartz, the Company's President & Chief Executive Officer, each adopted a stock trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended, and the Company's policies regarding stock transactions by directors, executive officers and other employees.
Under Rule 10b5-1, directors, officers and other employees who are not in possession of material non-public information may adopt a pre-arranged plan or contract for the sale of company securities under specified conditions and at specified times. Using these 10b5-1 plans, individuals can gradually diversify their assets and investment portfolios, spread stock trades out over an extended period to reduce market impact and avoid concerns about transactions occurring during a blackout period or otherwise at a time when they might possess material non-public information.
Mr. O'Brien's 10b5-1 plan, established on June 9, 2020, provides for the sale of up to 123,574 shares over a twelve (12) month period through the exercise of stock options and the sale of restricted stock units. Shares may be sold under Mr. O'Brien's plan on the open market at prevailing market prices and subject to minimum price thresholds specified in his plan.  Mr. O'Brien has informed the Company that he established this plan as part of his overall retirement planning efforts.  Mr. O'Brien, who joined the Company in April 2012, has not previously sold or cancelled any shares of common stock other than to cover his tax obligations upon the vesting of restricted stock units.  Based on this plan, Mr. O'Brien will continue to remain in compliance with the Company's Stock Ownership Guidelines, and to hold, or have a beneficial interest in, more than a majority of his current holdings and interests in the Company's common stock.  In addition to the shares that may be sold pursuant to Mr. O'Brien's 10b5-1 plan, Mr. O'Brien holds 14,470 shares of the Company's common stock, performance-based and time-based stock options exercisable for up to 342,872 shares of the Company's common stock and performance-based and time-based restricted stock units for up to 120,939 shares of the Company's common stock.
Mr. Schwartz's 10b5-1 plan, established on June 14, 2020, provides for the sale of up to 95,652 shares over a twelve (12) month period through the exercise of stock options and the sale of restricted stock units. Shares may be sold under Mr. Schwartz's plan on the open market at prevailing market prices and subject to minimum price thresholds specified in his plan.  Mr. Schwartz has informed the Company that he established this plan for the purposes of diversification of his assets given his concentration in the Company's stock.  Mr. Schwartz, who joined the Company in August 2015, has not previously sold or cancelled any shares of common stock other than to cover his tax obligations upon the vesting of restricted stock units.  Based on this plan, Mr. Schwartz will continue to remain in compliance with the Company's Stock Ownership Guidelines, and will continue to hold, or have a beneficial interest in, more than a majority of his current holdings and interests in the Company's common stock.  In addition to the shares that may be sold pursuant to Mr. Schwartz's 10b5-1 plan, Mr. Schwartz holds 4,605 shares of the Company's common stock, performance-based and time-based stock options exercisable for 214,322 shares of the Company's common stock and performance-based and time-based restricted stock units for 68,542 shares of the Company's common stock.
Transactions under each of the 10b5-1 plans will be reported to the Securities and Exchange Commission in accordance with applicable securities laws, rules and regulations.  The Company does not undertake to report Rule 10b5-1 plans that may be adopted by any officers or directors in the future, or to report any modifications or termination of any publicly announced trading plan, except to the extent required by law.
﻿
﻿
﻿
﻿
﻿
﻿
﻿
﻿
﻿
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
﻿
﻿
Anterix Inc.
Date: August 10, 2020
/s/
Gena L. Ashe
Gena L. Ashe
General Counsel and Corporate Secretary
﻿
﻿