SEC Form 4 · accession 0001209191-18-042836
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
Jul 16, 2018
Accepted (ET)
Jul 17, 2018 · 4:12 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 | Jul 16, 2018 | M | 22,500 | $112.40 | A | 118,555 | D | |
| Common StockF2 | Jul 16, 2018 | S | 9,212 | $191.404 | D | 109,343 | D | |
| Common StockF3 | Jul 16, 2018 | S | 10,814 | $192.199 | D | 98,529 | D | |
| Common StockF4 | Jul 16, 2018 | S | 2,474 | $193.222 | D | 96,055 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF5 | $112.40 | Jul 16, 2018 | M | 22,500 | D | — | Mar 4, 2021 | Common Stock | 22,500 | 67,970 | D |
Explanation of responses
- F1The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F2Sale prices ranged from $190.81 to $191.80. 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 $191.82 to $192.77. 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.
- F4Sale prices ranged from $192.83 to $193.69. 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.
- F5Fifty percent became exercisable on 03/05/2015 and the remaining fifty percent became exercisable on 03/05/2016.