SEC Form 4 · accession 0001127602-17-031964
AEROJET ROCKETDYNE HOLDINGS, INC. · AJRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Henderson
Director
Period of report
Nov 8, 2017
Accepted (ET)
Nov 13, 2017 · 6:25 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 | Nov 8, 2017 | M | 12,000 | $8.48 | A | 113,341 | D | |
| Common Stock | Nov 8, 2017 | M | 12,000 | $8.48 | A | 125,341 | D | |
| Common Stock | Nov 8, 2017 | M | 12,000 | $2.39 | A | 137,341 | D | |
| Common Stock | Nov 8, 2017 | M | 17,251 | $6.82 | A | 154,592 | D | |
| Common Stock | Nov 8, 2017 | M | 7,355 | $13.23 | A | 161,947 | D | |
| Common Stock | Nov 8, 2017 | D | 12,000 | $30.27 | D | 149,947 | D | |
| Common Stock | Nov 8, 2017 | D | 12,000 | $30.27 | D | 137,947 | D | |
| Common Stock | Nov 8, 2017 | D | 12,000 | $30.27 | D | 125,947 | D | |
| Common Stock | Nov 8, 2017 | D | 17,251 | $30.27 | D | 108,696 | D | |
| Common Stock | Nov 8, 2017 | D | 7,355 | $30.27 | D | 101,341 | D | |
| Common StockF1 | Nov 8, 2017 | S | 18,000 | $30.235 | D | 83,341 | D | |
| Common Stock | Nov 9, 2017 | S | 17,234 | $30.1392 | D | 66,107 | D | |
| Common Stock | Nov 10, 2017 | S | 18,000 | $29.5487 | D | 48,107 | D | |
| Common Stock | holding | — | — | — | 54,121 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF2 | $8.48 | Nov 8, 2017 | M | 12,000 | D | — | Aug 15, 2018 | Common Stock | 12,000 | 0 | D |
| Stock Appreciation Right | $8.48 | Nov 8, 2017 | M | 12,000 | D | Mar 25, 2009 | Aug 15, 2018 | Common Stock | 12,000 | 0 | D |
| Stock Appreciation RightF3 | $2.39 | Nov 8, 2017 | M | 12,000 | D | — | Mar 25, 2019 | Common Stock | 12,000 | 0 | D |
| Stock Appreciation RightF4 | $6.82 | Nov 8, 2017 | M | 17,251 | D | — | Mar 28, 2019 | Common Stock | 17,251 | 0 | D |
| Stock Appreciation RightF5 | $13.23 | Nov 8, 2017 | M | 7,355 | D | — | Apr 11, 2020 | Common Stock | 7,355 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.2345 to $30.2750, inclusive. The reporting person undertakes to provide to Aerojet Rocketdyne Holdings, Inc., any security holder of Aerojet Rocketdyne Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- F2The stock appreciation right vested in 50% increments on 2/15/09 and 8/15/09.
- F3The stock appreciation right vested in 50% increments on 9/25/09 and 3/25/10.
- F4The stock appreciation right vested in 50% increments on 9/28/12 and 3/28/13.
- F5The stock appreciation right vested in 50% increments on 10/11/13 and 4/11/14.