SEC Form 4 · accession 0001209191-16-135673
GENERAL DYNAMICS CORP · GD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Patrick Casey
Officer — Executive Vice President
Period of report
Aug 4, 2016
Accepted (ET)
Aug 5, 2016 · 3:25 pm EDT
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 Stock, $1.00 par value | Aug 4, 2016 | M | 37,690 | $71.01 | A | 165,118 | D | |
| Common Stock, $1.00 par value | Aug 4, 2016 | M | 19,800 | $67.90 | A | 184,918 | D | |
| Common Stock, $1.00 par valueF1 | Aug 4, 2016 | S | 57,490 | $146.958 | D | 127,428 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $71.01 | Aug 4, 2016 | M | 37,690 | D | — | Mar 6, 2019 | Common Stock | 37,690 | 0 | D |
| Stock OptionsF3 | $67.90 | Aug 4, 2016 | M | 19,800 | D | — | May 1, 2019 | Common Stock | 19,800 | 0 | D |
Explanation of responses
- F1Sale prices ranged from $146.81 to $147.37. Reporting Person will provide, upon request by the Commission staff, General Dynamics, or a General Dynamics shareholder, full information regarding the number of shares sold at each separate sales price.
- F2Fifty percent became exercisable 03/07/2013 and the remaining fifty percent became exercisable 03/07/2014.
- F3Fifty percent became exercisable 05/02/2013 and the remaining fifty percent became exercisable 05/02/2014.