ADTN

SEC source: 0001209191-17-001472 · doc4.xml · nonDerivative · entry 1

HUSS H FENWICK · CIK 0001201037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,314.69

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001468 · doc4.xml · nonDerivative · entry 1

Melone Anthony J. · CIK 0001507363 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,193

F1 · security: Represents a grant of restricted stock that vests at 100% on the 1st anniversary of the grant.

SEC source: 0001209191-17-001453 · doc4.xml · nonDerivative · entry 1

Jacqueline Hourigan Rice · CIK 0001637150 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,224

F1 · security: Represents a grant of restricted stock that vests at 100% on the 1st anniversary of the grant.

SEC source: 0001209191-17-001396 · doc4.xml · derivative · entry 5

Nair Balan · CIK 0001398905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 89.69 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F1 · derivative.exercise_date: Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F1 · derivative.expiration_date: Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001396 · doc4.xml · nonDerivative · entry 3

Nair Balan · CIK 0001398905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,341

SEC source: 0001209191-17-001396 · doc4.xml · nonDerivative · entry 2

Nair Balan · CIK 0001398905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,314

F1 · security: Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001396 · doc4.xml · nonDerivative · entry 1

Nair Balan · CIK 0001398905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,314.69

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Settlement of dividend equivalent rights in connection with lapse of restriction on restricted stock. The rights accrued when and as dividends were paid on the Company's common stock and are paid in whole shares of common stock with the remainder paid in cash. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-16-151296 · doc4.xml · derivative · entry 1

Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,489.48

Underlying: Common · 51.059 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001209191-16-151298 · doc4.xml · derivative · entry 1

STANTON THOMAS R · CIK 0001191219 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,974.512

Underlying: Common · 230.549 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001209191-16-151290 · doc4.xml · derivative · entry 1

Foliano Michael · CIK 0001300513 · Sr VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,703.843

Underlying: Common · 38.571 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001179022-16-000122 · edgar.xml · derivative · entry 9

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,783

Underlying: Common Stock · 6,261 shares

Expires 2025-11-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · balance_after: The issuer issued Incentive Stock Options (right to buy) to the reporting person and Non-Qualified Stock Options (Right to Buy) to the reporting person on November 14, 2015. At the time of issuance, these stock options were properly reported on Form 4. The issuer has now exceeded alloted Incentive Stock Option amounts for the reporting person and has changed some of the Incentive Stock Options to be Non-Qualified Options. The total in Column 9 represents the total options (both Incentive Stock Options and Non-Qualified Stock Options) remaining from the grant, in the aggregate.

SEC source: 0001179022-16-000122 · edgar.xml · derivative · entry 8

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,025 shares

Expires 2022-11-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179022-16-000122 · edgar.xml · derivative · entry 7

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,009 shares

Expires 2022-11-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179022-16-000122 · edgar.xml · derivative · entry 6

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,424.635

Underlying: Common stock · 28.353 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F2 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F2 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001179022-16-000122 · edgar.xml · nonDerivative · entry 4

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,463

F3 · price: The shares were sold in multiple transactions at prices ranging from $19.85 to $20.00. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

SEC source: 0001179022-16-000122 · edgar.xml · nonDerivative · entry 3

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,758

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179022-16-000122 · edgar.xml · nonDerivative · entry 2

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,497

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179022-16-000122 · edgar.xml · nonDerivative · entry 1

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,472

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-17-001481 · doc4.xml · derivative · entry 4

Walker Kathryn A · CIK 0001264261 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89.69

Underlying: Common Stock · 89.69 shares

Expires not disclosed

F2 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001393 · doc4.xml · derivative · entry 8

NICHOLS ROY J · CIK 0000937725 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89.69

Underlying: Common Stock · 89.69 shares

Expires not disclosed

F2 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001497 · doc4.xml · derivative · entry 5

MARKS WILLIAM L · CIK 0001186072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89.69

Underlying: Common Stock · 89.69 shares

Expires not disclosed

F2 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001472 · doc4.xml · derivative · entry 4

HUSS H FENWICK · CIK 0001201037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89.69

Underlying: Common Stock · 89.69 shares

Expires not disclosed

F3 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F3 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F3 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001468 · doc4.xml · derivative · entry 2

Melone Anthony J. · CIK 0001507363 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31.319

Underlying: Common Stock · 31.319 shares

Expires not disclosed

F2 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001453 · doc4.xml · derivative · entry 2

Jacqueline Hourigan Rice · CIK 0001637150 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9.911

Underlying: Common Stock · 9.911 shares

Expires not disclosed

F2 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001209191-17-001396 · doc4.xml · derivative · entry 4

Nair Balan · CIK 0001398905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89.69

Underlying: Common Stock · 89.69 shares

Expires not disclosed

F2 · derivative.exercise_price: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.exercise_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

F2 · derivative.expiration_date: The dividend equivalent rights accrued when and as dividends were paid on the Company's common stock. Each dividend equivalent right is the economic equivalent of one share of the Company's common stock.

SEC source: 0001179022-16-000116 · edgar.xml · derivative · entry 2

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,396.282

Underlying: Common stock · 3,100 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F4 · price: Upon vesting of performance shares awarded pursuant to a grant of November 2, 2013 under the ADTRAN, Inc. 2006 Employee Stock Incentive Plan, the reporting person deferred the receipt of shares of the Company's common stock and received instead shares of phantom stock pursuant to the Company's deferred compensation plan.

F3 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F3 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001179022-16-000116 · edgar.xml · nonDerivative · entry 1

Wilson James Denson Jr · CIK 0001371377 · SVP Technology & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,463

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001179022-16-000121 · edgar.xml · nonDerivative · entry 1

Scheiterer Eduard · CIK 0001628537 · Sr VP & Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,603

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001179022-16-000120 · edgar.xml · nonDerivative · entry 1

Shannon Roger D · CIK 0001370527 · Sr VP Finance and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,421

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001179022-16-000119 · edgar.xml · nonDerivative · entry 1

Heering Kevin P. · CIK 0001610129 · Sr VP Quality & Administration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,879

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001179022-16-000117 · edgar.xml · derivative · entry 2

Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,438.421

Underlying: Common stock · 3,100 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F4 · price: Upon vesting of performance shares awarded pursuant to a grant of November 2, 2013 under the ADTRAN, Inc. 2006 Employee Stock Incentive Plan, the reporting person deferred the receipt of shares of the Company's common stock and received instead shares of phantom stock pursuant to the Company's deferred compensation plan.

F3 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F3 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001179022-16-000117 · edgar.xml · nonDerivative · entry 1

Schansman Raymond R · CIK 0001371148 · SVP Global Services & Support

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,408

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001179022-16-000115 · edgar.xml · derivative · entry 2

Foliano Michael · CIK 0001300513 · Sr VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,665.272

Underlying: Common stock · 3,100 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F4 · price: Upon vesting of performance shares awarded pursuant to a grant of November 2, 2013 under the ADTRAN, Inc. 2006 Employee Stock Incentive Plan, the reporting person deferred the receipt of shares of the Company's common stock and received instead shares of phantom stock pursuant to the Company's deferred compensation plan.

F3 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F3 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001179022-16-000115 · edgar.xml · nonDerivative · entry 1

Foliano Michael · CIK 0001300513 · Sr VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,095

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001179022-16-000114 · edgar.xml · derivative · entry 2

STANTON THOMAS R · CIK 0001191219 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,743.963

Underlying: Common stock · 13,547 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof.

F4 · price: Upon vesting of performance shares awarded pursuant to a grant of November 2, 2013 under the ADTRAN, Inc. 2006 Employee Stock Incentive Plan, the reporting person deferred the receipt of shares of the Company's common stock and received instead shares of phantom stock pursuant to the Company's deferred compensation plan.

F3 · derivative.exercise_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

F3 · derivative.expiration_date: The phantom stock becomes payable 6 months after the reporting person's separation of service with the Company. The reporting person may transfer his phantom stock account into an alternative investment at any time.

SEC source: 0001179022-16-000114 · edgar.xml · nonDerivative · entry 1

STANTON THOMAS R · CIK 0001191219 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,070

F1 · security: Represents a grant of restricted stock units that vest in four equal and annual installments beginning on the first anniversary date of the grant.

SEC source: 0001773229-20-000023 · primary_doc.xml · nonDerivative · entry 1

McCray Gregory James · CIK 0001327057 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,750.402

F1 · security: Reflects 322.068 shares acquired through the automatic reinvestment of dividends paid on the Company's common stock.