SEC Form 4 · accession 0001209191-16-152935
DUCOMMUN INC /DE/ · DCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rose F Rogers
Officer — VP & Chief HR Officer
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 3:07 pm EST
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 | Nov 30, 2016 | M | 10,000 | $21.61 | A | 30,089 | D | |
| Common Stock | Nov 30, 2016 | M | 11,250 | $22.84 | A | 41,339 | D | |
| Common Stock | Nov 30, 2016 | F | 18,155 | $29.04 | D | 23,184 | 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 | $21.61 | Nov 30, 2016 | M | 10,000 | A | Jul 27, 2012 | Jul 26, 2018 | Common Stock | 10,000 | 0 | D |
| Option - Right to BuyF1,F3 | $22.84 | Nov 30, 2016 | M | 11,250 | A | Jul 31, 2014 | Jul 30, 2020 | Common Stock | 11,250 | 3,750 | 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-3plans.
- F2The option vested as to 2,500 shares on each of July 27, 2012, 2013, 2014, 2015.
- F3The option vested or will vest as to 3,750 shares on each of July 31, 2014, 2015, 2016, 2017.