SEC Form 4 · accession 0001209191-16-136992
GENERAL DYNAMICS CORP · GD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark C. Roualet
Officer — Executive Vice President
Period of report
Aug 11, 2016
Accepted (ET)
Aug 15, 2016 · 4:11 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 11, 2016 | M | 40,780 | $74.81 | A | 135,905 | D | |
| Common Stock, $1.00 par valueF1 | Aug 11, 2016 | S | 40,780 | $151.258 | D | 95,125 | D | |
| Common Stock, $1.00 par valueF2 | holding | — | — | — | 8,527 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF3 | $74.81 | Aug 11, 2016 | M | 40,780 | D | — | Mar 1, 2018 | Common Stock | 40,780 | 0 | D |
Explanation of responses
- F1Sale prices ranged from $151.17 to $151.47. 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.
- F2Includes share activity under General Dynamics 401(k) plan since date of reporting person's last ownership report.
- F3Fifty percent became exercisable on 03/02/2012 and the remaining fifty percent became exercisable on 03/02/2013.