SEC Form 4 · accession 0001181431-15-005922
DUCOMMUN INC /DE/ · DCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Heiser
Officer — VP and General Counsel
Period of report
Apr 15, 2015
Accepted (ET)
Apr 16, 2015 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000030305
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 15, 2015 | M | 2,750 | $18.04 | A | 22,212 | D | |
| Common Stock | Apr 15, 2015 | F | 2,176 | $33.22 | D | 20,036 | D | |
| Common Stock | Apr 15, 2015 | M | 9,375 | $21.61 | A | 29,411 | D | |
| Common Stock | Apr 15, 2015 | F | 7,877 | $33.22 | D | 21,534 | D | |
| Common Stock | Apr 15, 2015 | M | 3,750 | $9.81 | A | 25,284 | D | |
| Common Stock | Apr 15, 2015 | F | 2,542 | $33.22 | D | 22,742 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option - Right to BuyF1,F2 | $18.04 | Apr 15, 2015 | M | 2,750 | D | Jun 23, 2011 | Jun 22, 2017 | Common Stock | 2,750 | 0 | D |
| Option - Right to BuyF1,F3 | $21.61 | Apr 15, 2015 | M | 9,375 | D | Jul 27, 2012 | Jul 26, 2018 | Common Stock | 9,375 | 3,125 | D |
| Option - Right to BuyF1,F4 | $9.81 | Apr 15, 2015 | M | 3,750 | D | Jul 1, 2013 | Jun 30, 2019 | Common Stock | 3,750 | 7,500 | D |
Explanation of responses
- F1The option represents the right to purchase common stock granted under the Ducommun Incorporated Employee Stock Option Plans, which are Rule 16b-3 plans.
- F2The option vested as to 2,750 shares on each of June 23, 2011, 2012, 2013 and 2014.
- F3The option vested or will vest as to 3,125 shares on each of July 27, 2012, 2013, 2014 and 2015.
- F4The option vested or will vest as to 3,750 shares on each of July 1, 2013, 2014, 2015 and 2016.