Statement of Changes in Beneficial Ownership (4)
June 10 2019 - 4:36PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
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1. Name and Address of Reporting Person
*
PEABODY MARK
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2. Issuer Name
and
Ticker or Trading Symbol
ASTRONICS CORP
[
ATRO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP Astronics Advanced Electron
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(Last)
(First)
(Middle)
130 COMMERCE WAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/7/2019
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(Street)
EAST AURORA, NY 14052
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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$.01 PV Common Stock
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6/7/2019
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S
(1)
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2000
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D
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$43.78
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18761
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D
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$.01 PV Class B Stock
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156992
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option
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$2.84
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12/3/2010
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12/3/2019
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$.01 PV Com Stk
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16840
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16840
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D
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Option
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$2.84
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12/3/2010
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12/3/2019
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$.01 PV Cl B Stk
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29814
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29814
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D
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Option
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$7.68
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12/2/2011
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12/2/2020
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$.01 PV Com Stk
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6500
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6500
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D
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Option
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$7.68
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12/2/2011
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12/2/2020
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$.01 PV Cl B Stk
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11508
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11508
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D
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Option
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$13.59
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12/1/2012
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12/1/2021
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$.01 PV Com Stk
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4300
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4300
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D
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Option
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$13.59
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12/1/2012
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12/1/2021
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$.01 PV Cl B Stk
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6530
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6530
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D
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Option
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$9.20
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11/29/2013
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11/29/2022
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$.01 PV Com Stk
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7400
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7400
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D
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Option
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$9.20
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11/29/2013
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11/29/2022
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$.01 PV Cl B Stk
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8807
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8807
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D
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Option
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$28.45
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12/11/2014
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12/11/2023
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$.01 PV Com Stk
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2990
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2990
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D
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Option
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$28.45
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12/11/2014
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12/11/2023
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$.01 PV Cl B Stk
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2467
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2467
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D
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Option
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$30.83
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12/11/2015
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12/11/2024
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$.01 PV Com Stk
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3470
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3470
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D
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Option
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$30.83
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12/11/2015
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12/11/2024
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$.01 PV Cl B Stk
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1807
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1807
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D
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Option
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$27.72
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12/3/2016
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12/3/2025
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$.01 PV Com Stk
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4500
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4500
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D
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Option
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$27.72
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12/3/2016
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12/3/2025
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$.01 PV Cl B Stk
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1451
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1451
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D
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Option
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$31.76
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12/14/2017
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12/14/2026
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$.01 PV Com Stk
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4820
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4820
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D
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Option
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$31.76
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12/14/2017
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12/14/2026
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$.01 PV Cl B Stk
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723
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723
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D
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Option
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$35.61
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12/12/2018
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12/12/2027
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$.01 PV Com Stk
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7010
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7010
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D
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Option
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$35.61
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12/12/2018
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12/12/2027
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$.01 PV Cl B Stk
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1052
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1052
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D
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Restricted Stock Unit
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(2)
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(3)
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(3)
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$.01 PV Com Stk
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1205
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1205
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D
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Restricted Stock Unit
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(4)
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(3)
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(3)
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$.01 PV Cl B Stk
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180
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180
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D
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Option
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$31.57
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12/13/2019
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12/13/2028
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$.01 PV Com Stk
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9280
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9280
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D
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Restricted Stock Unit
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(2)
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(5)
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(5)
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$.01 PV Com Stk
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1220
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1220
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D
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Explanation of Responses:
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(1)
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Shares sold pursuant to a 10b5-1 trading plan.
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(2)
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Each restricted stock unit represents the right to receive, at settlement, one share of common stock.
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(3)
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Vesting of these restricted stock units depends on Astronics Corp.'s average annual adjusted EBITDA for the period of January 1, 2018 - December 31, 2020. The "target" number of restricted stock units is reported. Between 75% and 115% of the target number of units may vest on December 31, 2020, with the vesting percentage determined based on actual performance.
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(4)
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Each restricted stock unit represents the right to receive, at settlement, one share of Class B stock.
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(5)
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Vesting of these restricted stock units depends on Astronics Corp.'s average annual adjusted EBITDA for the period of January 1, 2019-December 31, 2021. The "target" number of restricted stock units is reported. Between 75% and 115% of the target number of units may vest on December 31, 2021, with the vesting percentage determined based on actual performance.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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PEABODY MARK
130 COMMERCE WAY
EAST AURORA, NY 14052
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VP Astronics Advanced Electron
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Signatures
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/s/Julie Davis, as Power of Attorney for Mark Peabody
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6/10/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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