Statement of Changes in Beneficial Ownership (4)
August 25 2020 - 4:17PM
Edgar (US Regulatory)
FORM 4
[X]
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
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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
*
5096 SARANAC LLC |
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 __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1801 ELMWOOD AVENUE, SUITE 1 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/21/2020 |
(Street)
BUFFALO, NY 14207-2463
(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 Par Value Common Stock | 8/21/2020 | | C | | 85695 | A | (1) | 85695 | D | |
$ .01 Par Value Class B Stock | 8/21/2020 | | J(2) | | 1409614 | D | (2) | 0 | D | |
$ .01 Par Value Common Stock | 8/21/2020 | | J(2) | | 85695 | D | (2) | 0 | D | |
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) | 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 |
$ .01 Par Value Class B Stock | (1) | 8/21/2020 | | C | | | 85695 | (1) | (1) | $ .01 Par Value Common Stock | 85695 | $0 | 1409614 (3) | D | |
Explanation of Responses: |
(1) | Each share of Class B Stock is convertible at any time, at the option of the holder, into one fully paid and non-assessable share of Common Stock. |
(2) | In-kind distribution to the Reporting Person's members. |
(3) | The number of shares reported in this Form 4 reflects the three-for-twenty distribution of Class B Stock on October 22, 2018 to holders of both Common and Class B Stock. Stockholders received three shares of Class B Stock for every twenty shares of Common and Class B Stock held on the record date of October 12, 2018. The Reporting Persons received 195,040 shares of Class B Common Stock in respect of such stock dividend. |
Remarks: The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. The Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
5096 SARANAC LLC 1801 ELMWOOD AVENUE SUITE 1 BUFFALO, NY 14207-2463 |
| X |
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Signatures
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5096 SARANAC LLC, By: /s/ Daniel G. Keane, its Manager | | 8/25/2020 |
**Signature of Reporting Person | Date |
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