SEC Form 4 · accession 0001094718-19-000002
KRATOS DEFENSE & SECURITY SOLUTIONS, INC. · KTOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deanna H Lund
Officer — EVP & CFO
Period of report
Jan 17, 2019
Accepted (ET)
Jan 18, 2019 · 7:59 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001069258
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F5 | Jan 17, 2019 | M | 20,000 | $0.00 | A | 261,681 | D | |
| Common StockF4,F5 | Jan 17, 2019 | F | 9,930 | $14.09 | D | 251,751 | D | |
| Common StockF3,F5 | Jan 17, 2019 | M | 30,000 | $0.00 | A | 281,751 | D | |
| Common StockF4,F5 | Jan 17, 2019 | F | 14,274 | $13.87 | D | 267,477 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 17, 2019 | M | 20,000 | D | — | — | Common Stock | 20,000 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Jan 17, 2019 | M | 30,000 | D | — | — | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer's common stock.
- F2RSUs were granted and previously reported on a Form 4 filed January 6, 2009; the underlying common stock was released for settlement on January 17, 2019.
- F3RSUs were granted and previously reported on a Form 4 filed January 7, 2014; the underlying common stock was released for settlement on January 17, 2019.
- F4Shares withheld in a net transaction to satisfy the minimum tax liability, in accordance with Issuer's trading policies, in connection with shares released as reported in this Form 4.
- F5Includes 16,626 shares purchased through Issuer's Employee Stock Purchase Plan and approximately 15,859 shares held in Issuer's 401(k) Plan.