SEC Form 4 · accession 0001209191-16-150149
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
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 4:09 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 Stock, $1.00 par valueF1 | Nov 10, 2016 | A | 108 | $0.00 | A | 95,233 | D | |
| Common Stock, $1.00 par value | Nov 14, 2016 | M | 38,900 | $71.01 | A | 134,133 | D | |
| Common Stock, $1.00 par value | Nov 14, 2016 | F | 29,059 | $170.23 | D | 105,074 | D | |
| Common Stock, $1.00 par valueF2 | holding | — | — | — | 8,566 | 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 | $71.01 | Nov 14, 2016 | M | 38,900 | D | — | Mar 6, 2019 | Common Stock | 38,900 | 0 | D |
Explanation of responses
- F1Represents accrued dividend equivalents on previously earned PRSUs.
- F2Includes share activity under General Dynamics 401(k) plan since date of reporting person's last ownership report.
- F3Fifty percent became exercisable on 03/07/2013 and the remaining fifty percent became exercisable on 03/07/2014.