SEC Form 4 · accession 0000921895-16-005739
AEROJET ROCKETDYNE HOLDINGS, INC. · AJRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren G Lichtenstein
Officer — Executive Chairman · Director
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000040888
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.10 | Sep 19, 2016 | M | 12,000 | $5.63 | A | 94,920 | D | |
| Common Stock, Par Value $0.10 | Sep 19, 2016 | D | 12,000 | $17.59 | D | 82,920 | D | |
| Common Stock, Par Value $0.10 | holding | — | — | — | 448,753 | I | By Rabbi Trust | |
| Common Stock, Par Value $0.10F1 | holding | — | — | — | 5,000 | I | By Steel Partners, Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF2 | $5.63 | Sep 19, 2016 | M | 12,000 | D | — | Oct 6, 2016 | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1Mr. Lichtenstein, as the Chief Executive Officer of Steel Partners, Ltd. ("SPL"), may be deemed to beneficially own the shares of common stock owned directly by SPL. Mr. Lichtenstein disclaims beneficial ownership of the shares of common stock of the Company owned directly by SPL except to the extent of his pecuniary interest therein.
- F2The Stock Appreciation Right vested in 50% increments on 4/06/2010 and 10/06/2010.