SEC Form 4 · accession 0001127602-18-032430
KAMAN Corp · KAMN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal J Keating
Officer — Chm, Pres & CEO · Director
Period of report
Nov 6, 2018
Accepted (ET)
Nov 7, 2018 · 4:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000054381
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Kaman Common StockF1,F2,F3 | Nov 6, 2018 | P | 4,000 | $59.0408 | A | 208,039 | D | |
| Kaman Common Stock | holding | — | — | — | 14,000 | I | Held In Investment Management Account Of An LLC Wholly Owned By Mr. Keating And His Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5,F6 | — | holding | — | — | — | — | — | Kaman Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1This figure represents the weighted average purchase price for the shares purchased. The range of prices was $58.93 to $59.05. The reporting person will provide full information regarding the number of shares purchased at each separate price upon request by the SEC staff, the issuer, or any security holder of the issuer
- F2Includes the acquisition of 158.7351 shares under the Corporation's Employees Stock Purchase Plan, a Rule 16b-3 qualified plan, through June 15, 2018.
- F3Includes the acquisition of approximately 117.067 shares through October 4, 2018 by the reporting person pursuant to the periodic, automatic reinvestment of dividends paid on the Corporation's common stock under a program maintained by the reporting person's brokerage firm which is similar to the Corporation's Dividend Reinvestment Plan.
- F4Each restricted stock unit represents a contingent right to receive one share of Kaman common stock.
- F5The restricted stock units vested in full on October 13, 2017, which was the date of the reporting person's 62nd birthday. Vested shares will be delivered to the reporting person on the later of six months and one day following the reporting person's separation from service from the Company, or January 2nd of the year following such separation from service.
- F6The restricted stock units vested in full on October 13, 2017, which was the date of the reporting person's 62nd birthday. Vested shares will be delivered to the reporting person on the later of six months and one day following the reporting person's separation from service from the Company, or January 2nd of the year following such separation from service.