SEC Form 4 · accession 0001127602-18-009422
AEROJET ROCKETDYNE HOLDINGS, INC. · AJRD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Tucker
Officer — Chief Operating Officer
Period of report
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 6:09 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 StockF1 | Feb 27, 2018 | D | 8,283 | $27.25 | D | 139,393 | D | |
| Common Stock | Feb 27, 2018 | F | 5,143 | $27.25 | D | 134,250 | D | |
| Common StockF2 | Feb 27, 2018 | A | 39,008 | $0.00 | A | 173,258 | D | |
| Common StockF3 | Feb 27, 2018 | A | 2,110 | $0.00 | A | 175,368 | D | |
| Common StockF4 | Feb 27, 2018 | A | 9,239 | $0.00 | A | 184,607 | 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 | $27.25 | Feb 27, 2018 | A | 20,086 | A | Feb 27, 2021 | Feb 27, 2025 | Common Stock | 20,086 | 20,086 | D |
Explanation of responses
- F1Performance-based restricted stock forfeited due to failure to achieve maximum performance targets for FY2017.
- F2Grant to Reporting Person of restricted stock under the Amended and Restated 2009 Equity and Performance Incentive Plan. Restricted stock will vest based on meeting certain performance targets for FY2020.
- F3Grant to Reporting Person of restricted stock under the Amended and Restated 2009 Equity and Performance Incentive Plan. Such shares of restricted stock will vest in 1/3 increments on February 27, 2019, February 27, 2020 and February 27, 2021.
- F4Grant to Reporting Person of restricted stock under the Amended and Restated 2009 Equity and Performance Incentive Plan. Such restricted stock will vest as follows: 1/3 to vest upon the attainment of a share price of $34 no later than December 31, 2020, an additional 1/3 to vest upon the attainment of a share price of $38 no later than December 31, 2021, and an additional 1/3 to vest upon the attainment of a share price of $42 no later than December 31, 2022, with the share price in all cases being determined on the basis of the 20-day volume weighted average price of the Company's common stock.