SEC Form 4 · accession 0000921895-19-000655
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
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 9:30 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 | Feb 28, 2019 | A | 49,158 | $0.00 | A | 515,089 | I | By Rabbi Trust |
| Common Stock, Par Value $0.10F2 | holding | — | — | — | 60,546 | I | By Steel Partners, Ltd. | |
| Common Stock, Par Value $0.10 | holding | — | — | — | 29,148 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $37.25 | Feb 28, 2019 | A | 200,000 | A | Feb 28, 2022 | Feb 28, 2026 | Common Stock | 200,000 | 200,000 | D |
| Stock Option | $37.25 | Feb 28, 2019 | A | 91,229 | A | Feb 28, 2022 | Feb 28, 2026 | Common Stock | 91,229 | 91,229 | D |
Explanation of responses
- F1Grant to Reporting Person of restricted stock under the 2018 Equity and Performance Incentive Plan.
- F2Mr. Lichtenstein, as the Chief Executive Officer and a control person 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.