SEC Form 4 · accession 0000921895-17-000044
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
Jul 29, 2014
Accepted (ET)
Jan 9, 2017 · 5:43 pm EST
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 $0.10F1 | Jan 5, 2016 | C | 55,546 | $9.00 | A | 60,546 | I | By Steel Partners, Ltd. |
| Common Stock, Par Value $0.10 | holding | — | — | — | 82,920 | D | ||
| Common Stock, Par Value $0.10 | holding | — | — | — | 448,753 | I | By Rabbi Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 4.0625% Convertible Subordinated Debentures due 2039F1 | $9.00 | Jul 29, 2014 | P | — | A | Jul 29, 2014 | Dec 31, 2039 | Common Stock | 55,546 | 55,546 | I |
| 4.0625% Convertible Subordinated Debentures due 2039F1 | $9.00 | Jan 5, 2016 | C | — | D | Dec 21, 2009 | Dec 31, 2039 | Common Stock | 55,546 | 0 | I |
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.