SEC Form 4 · accession 0001209191-18-059237
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 15, 2018
Accepted (ET)
Nov 19, 2018 · 5:04 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 15, 2018 | M | 3,750 | $22.84 | A | 22,260 | D | |
| Common Stock | Nov 15, 2018 | F | 2,655 | $41.28 | D | 19,605 | D | |
| Common Stock | Nov 15, 2018 | M | 6,000 | $24.90 | A | 25,605 | D | |
| Common Stock | Nov 15, 2018 | F | 4,444 | $41.28 | D | 21,161 | 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 | $22.84 | Nov 15, 2018 | M | 3,750 | D | Jul 31, 2014 | Jul 30, 2020 | Common Stock | 3,750 | 0 | D |
| Option - Right to BuyF1,F3 | $24.90 | Nov 15, 2018 | M | 6,000 | D | Mar 18, 2015 | Mar 17, 2021 | Common Stock | 6,000 | 0 | 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.
- F2This option vested as to 3,750 shares on each of July 2014, 2015, 2016, and 2017.
- F3This option vested as to 1,500 shares on each of March 2015, 2016, 2017, and 2018.