SEC Form 4 · accession 0001209191-16-140745
GENERAL DYNAMICS CORP · GD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Helm
Officer — Senior Vice President
Period of report
Sep 7, 2016
Accepted (ET)
Sep 9, 2016 · 4:20 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 | Sep 7, 2016 | M | 41,250 | $74.81 | A | 108,119 | D | |
| Common Stock, $1.00 par valueF1 | Sep 7, 2016 | S | 35,250 | $152.994 | D | 72,869 | D | |
| Common Stock, $1.00 par value | Sep 8, 2016 | M | 41,250 | $74.81 | A | 114,119 | D | |
| Common Stock, $1.00 par value | Sep 8, 2016 | M | 73,410 | $71.01 | A | 187,529 | D | |
| Common Stock, $1.00 par valueF2 | Sep 8, 2016 | S | 82,269 | $152.191 | D | 105,260 | D | |
| Common Stock, $1.00 par valueF3 | Sep 8, 2016 | S | 32,391 | $152.423 | D | 72,869 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF4 | $74.81 | Sep 7, 2016 | M | 41,250 | D | — | Mar 1, 2018 | Common Stock | 41,250 | 41,250 | D |
| Stock OptionsF4 | $74.81 | Sep 8, 2016 | M | 41,250 | D | — | Mar 1, 2018 | Common Stock | 41,250 | 0 | D |
| Stock OptionsF5 | $71.01 | Sep 8, 2016 | M | 73,410 | D | — | Mar 6, 2019 | Common Stock | 73,410 | 0 | D |
Explanation of responses
- F1Sale prices ranged from $152.81 to $153.18. 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.
- F2Sale prices ranged from $151.36 to $152.35. 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.
- F3Sale prices ranged from $152.36 to $152.62. 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.
- F4Fifty percent became exercisable on 03/02/2012 and the remaining fifty percent became exercisable on 03/02/2013.
- F5Fifty percent became exercisable on 03/07/2013 and the remaining fifty percent became exercisable on 03/07/2014.