SEC Form 4 · accession 0000913849-17-000323
GENERAL DYNAMICS CORP · GD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Crown
Director
Period of report
Nov 2, 2017
Accepted (ET)
Nov 6, 2017 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000040533
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF5 | Nov 2, 2017 | J | 2,908 | $0.00 | D | 301,892 | I | See ftn |
| Common StockF6 | Nov 2, 2017 | J | 408,102 | $0.00 | D | 7,297,010 | I | See ftn |
| Common StockF6 | Nov 3, 2017 | J | 5,258 | $0.00 | D | 7,291,752 | I | See ftn |
| Common StockF1 | holding | — | — | — | 77,286 | D | ||
| Common StockF2 | holding | — | — | — | 5,424,092 | I | See ftn | |
| Common StockF3 | holding | — | — | — | 2,511,144 | I | See ftn |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 1,970 shares of restricted stock.
- F2Owned by HCNI II LLC. The Reporting Person is a member of HCNI II LLC and is a manager of its manager, HCC Manager LLC. The Reporting Person disclaims beneficial ownership of the shares of Common Stock held by HCNI II LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.
- F3Owned by Areljay II LLC. The Reporting Person is a beneficiary of a trust that is a member of Areljay II LLC, and is a manager of its manager, HHC Manager LLC. The Reporting Person disclaims beneficial ownership of the shares of Common Stock held by Areljay II LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.
- F4Represents a distribution of shares by the partnership which held such shares to the estate of a partner. The Reporting Person has no pecuniary interest in the distributed shares.
- F5Owned by a partnership, Crown Fund II, of which the Reporting Person is a partner. The Reporting Person disclaims beneficial ownership of the shares of Common Stock held by this entity except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.
- F6Owned by a partnership, The Crown Fund, of which the Reporting Person is a partner. The Reporting Person disclaims beneficial ownership of the shares of Common Stock held by this entity except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.