Initial Statement of Beneficial Ownership (3)

Date : 07/02/2019 @ 8:35PM
Source : Edgar (US Regulatory)
Stock : General Dynamics Corporation (GD)
Quote : 179.33  0.21 (0.12%) @ 4:20PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Smith Robert Edward

2. Date of Event Requiring Statement (MM/DD/YYYY)
7/1/2019 

3. Issuer Name and Ticker or Trading Symbol

GENERAL DYNAMICS CORP [GD]

(Last)        (First)        (Middle)

C/O GENERAL DYNAMICS CORPORATION, 2941 FAIRVIEW PARK DR.

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

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Executive Vice President /

(Street)

FALLS CHURCH, VA 22042       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   14000.217   D    
Common Stock   5108.444   (1) D    
Common Stock   5294.565   I   401(k) Plan  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options     (2) 3/4/2021   Common Stock   14540   $112.40   D    
Stock Options     (3) 3/3/2025   Common Stock   12860   $136.78   D    
Stock Options     (4) 3/1/2026   Common Stock   19320   $135.85   D    
Stock Options     (5) 2/28/2027   Common Stock   13140   $191.71   D    
Stock Options     (6) 3/6/2028   Common Stock   11570   $223.93   D    
Stock Options     (7) 3/5/2029   Common Stock   16400   $167.61   D    

Explanation of Responses:
(1)  Includes 3,680 shares of restricted stock and 1,428.444 restricted stock units, each of which are subject to service-based vesting and will release three years after the grant date. The restricted stock units are settled on a one-to-one basis in Common Stock.
(2)  Fifty percent became exercisable on 03/05/2015 and the remaining fifty percent became exercisable on 03/05/2016.
(3)  Fifty percent became exercisable on 03/04/2017 and the remaining fifty percent became exercisable on 03/04/2018.
(4)  Fifty percent became exercisable on 03/02/2018 and the remaining fifty percent became exercisable on 03/02/2019.
(5)  Fifty percent became exercisable on 03/01/2019 and the remaining fifty percent will become exercisable on 03/01/2020.
(6)  Fifty percent will become exercisable on 03/07/2020 and the remaining fifty percent will become exercisable on 03/07/2021.
(7)  Fifty percent will become exercisable on 03/06/2021 and the remaining fifty percent will become exercisable on 03/06/2022.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Smith Robert Edward
C/O GENERAL DYNAMICS CORPORATION
2941 FAIRVIEW PARK DR.
FALLS CHURCH, VA 22042


Executive Vice President

Signatures
L. Neal Wheeler, by Power of Attorney 7/2/2019
** 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 5(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 control number.

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