Statement of Changes in Beneficial Ownership (4)
March 06 2020 - 4:57PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
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
*
CROWN JAMES S |
2. Issuer Name and Ticker or Trading Symbol
GENERAL DYNAMICS CORP
[
GD
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
222 N. LASALLE STREET, STE 2000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/4/2020 |
(Street)
CHICAGO, IL 60601
(City)
(State)
(Zip)
|
4. 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 Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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 | 3/4/2020 | | A | | 485 (1) | A | $0 | 13960 | D (2) | |
Common Stock | | | | | | | | 5424092 | I | See ftn (3) |
Common Stock | | | | | | | | 2511144 | I | See ftn (4) |
Common Stock | | | | | | | | 7291752 | I | See ftn (5) |
Common Stock | | | | | | | | 301892 | I | See ftn (6) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Stock Options | $165.47 | 3/4/2020 | | A | | 3210 | | (7) | 3/3/2030 | Common Stock | 3210 | $0 | 3210 | D | |
Explanation of Responses: |
(1) | Reflects shares of restricted stock that vest three years after the grant date, subject to continued service conditions. |
(2) | Includes 1,265 shares of restricted stock. |
(3) | Owned by HCNI II LLC. The reporting person is a member of HCNI II LLC and is a manager of its Manager, HCC Manager LLC. The reporting person disclaims beneficial ownership of the shares of Common Stock held by HCNI II LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. |
(4) | Owned by Areljay II LLC. The reporting person is a beneficiary of a trust that is a member of Areljay II LLC, and is a manager of its manager, HCC Manager LLC. The reporting person disclaims beneficial ownership of the shares of Common Stock held by Areljay II LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. |
(5) | Owned by a partnership. The Crown Fund, of which the reporting person is a partner. The reporting person disclaims beneficial ownership of the shares of Common Stock held by this entity except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. |
(6) | Owned by a partnership. Crown Fund II, of which the reporting person is a partner. The reporting person disclaims beneficial ownership of the shares of Common Stock held by this entity except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. |
(7) | One half of the options becomes exercisable on March 4, 2022 and the remaining half becomes exercisable on March 4, 2023. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
CROWN JAMES S 222 N. LASALLE STREET STE 2000 CHICAGO, IL 60601 | X |
|
|
|
Signatures
|
/s/Angie Newhouse, Attorney-in-Fact | | 3/6/2020 |
**Signature of Reporting Person | Date |
General Dynamics (NYSE:GD)
Historical Stock Chart
From Mar 2024 to Apr 2024
General Dynamics (NYSE:GD)
Historical Stock Chart
From Apr 2023 to Apr 2024