Statement of Changes in Beneficial Ownership (4)
March 02 2020 - 4:47PM
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
*
Keane Robert S |
2. Issuer Name and Ticker or Trading Symbol
ASTRONICS CORP
[
ATRO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
78 BEACON STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2020 |
(Street)
BOSTON, MA 02108
(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
|
$0.01 PV Common Stock | | | | | | | | 181126 | I | Note (1) (1) |
$0.01 PV Class B Stock | | | | | | | | 1792798 | I | Note (1) (1) |
$0.01 PV Common Stock | | | | | | | | 44200 | I | Note (2) (2) |
$0.01 PV Class B Stock | | | | | | | | 206886 | I | Note (2) (2) |
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 |
Option | $35.81 | | | | | | | 9/3/2014 | 6/10/2020 | $.01 PV Common Stock | 2000 | | 2000 | I | Note (1) (1) |
Option | $35.81 | | | | | | | 9/3/2014 | 6/10/2020 | $.01 PV Class B Stock | 1650 | | 1650 | I | Note (1) (1) |
Option | $45.88 | | | | | | | 9/10/2015 | 6/10/2020 | $.01 PV Common Stock | 3000 | | 3000 | I | Note (1) (1) |
Option | $45.88 | | | | | | | 9/10/2015 | 6/10/2020 | $.01 PV Class B Stock | 1563 | | 1563 | I | Note (1) (1) |
Otion | $22.93 | | | | | | | 8/26/2016 | 6/10/2020 | $.01 PV Common Stock | 4000 | | 4000 | I | Note (1) (1) |
Option | $22.93 | | | | | | | 8/26/2016 | 6/10/2020 | $.01 PV Class B Stock | 1290 | | 1290 | I | Note (1) (1) |
Option | $28.50 | | | | | | | 9/7/2017 | 6/10/2020 | $.01 PV Common Stock | 4000 | | 4000 | I | Note (1) (1) |
Option | $28.50 | | | | | | | 9/7/2017 | 6/10/2020 | $.01 PV Class B Stock | 600 | | 600 | I | Note (1) (1) |
Option | $34.04 | | | | | | | 3/2/2019 | 6/10/2021 | $.01 PV Common Stock | 4000 | | 4000 | I | Note (1) (1) |
Option | $34.04 | | | | | | | 3/2/2019 | 6/10/2021 | $.01 PV Class B Stock | 600 | | 600 | I | Note (1) (1) |
Restricted Stock Unit | (3) | 2/28/2020 | | A | | 5600 | | (4) | (4) | $.01 PV Common Stock | 5600 | $0.00 | 5600 | D | |
Explanation of Responses: |
(1) | The direct owner is the Estate of Kevin T. Keane, the father of this form's Reporting Person. The Reporting Person is one of multiple beneficiaries (and one of multiple trustees) to a trust to be established by that estate. The entire amount of the estate's interest is reported on this form, however the Reporting Person's proportionate rate is well below 50%. |
(2) | Reporting Person is one of multiple potential next-generation beneficiaries to the direct owner of these shares, which is a trust (EAK & KRK Trustees U/A/D 10-15-97 FBO Elizabeth A. Keane). The entire amount of the estate's interest is reported on this form, however the Reporting Person's proportionate interest is well below 50%. |
(3) | Each restricted stock unit represents the right to receive, at settlement, one share of common stock. |
(4) | These restricted stock units are scheduled to vest 100% on August 28, 2020. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Keane Robert S 78 BEACON STREET BOSTON, MA 02108 | X | X |
|
|
Signatures
|
/s/Julie Davis as Power of Attorney for Robert Sprague Keane | | 3/2/2020 |
**Signature of Reporting Person | Date |
Astronics (PK) (USOTC:ATROB)
Historical Stock Chart
From Jul 2024 to Jul 2024
Astronics (PK) (USOTC:ATROB)
Historical Stock Chart
From Jul 2023 to Jul 2024