Novakovic Phebe N's Form 4 filing
General Dynamics Corp (GD) · filed Aug 10, 2022
- Accession no.
- 0001209191-22-045167
- Filed
- Aug 10, 2022
- Trade date
- Aug 8-9, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $16.2M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Novakovic Phebe NCIK 0001222195 | Director, Officer (Chairman and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 8, 2022 | Common Stock | MOption exerciseAcquired | +320,260 | $135.85 | +$43,507,321 | 1,101,412 | Direct | |
| Aug 8, 2022 | Common Stock | FTax withholdingDisposed | −248,799 | $228.87 | −$56,942,627.13 | 852,613 | Direct | |
| Aug 9, 2022 | Common Stock | SSaleDisposed | −41,926 | $226.73F1 | −$9,505,881.98 | 810,687 | Direct | |
| Aug 9, 2022 | Common Stock | SSaleDisposed | −29,235 | $227.49F2 | −$6,650,670.15 | 781,452 | Direct | |
| Aug 9, 2022 | Common Stock | SSaleDisposed | −300 | $228.15F3 | −$68,445 | 781,152 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 8, 2022 | Common Stock | MOption exerciseDisposed | −320,260 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Sale prices ranged from $226.13 to $227.12. Reporting Person will provide, upon request by the Commission staff, General Dynamics, or a General Dynamics shareholder, full information regarding the number of shares sold at each separate sales price.
Referenced by the price of 1 transaction in Table I.
- F2
Sale prices ranged from $227.13 to $228.12. Reporting Person will provide, upon request by the Commission staff, General Dynamics, or a General Dynamics shareholder, full information regarding the number of shares sold at each separate sales price.
Referenced by the price of 1 transaction in Table I.
- F3
Sale prices ranged from $228.13 to $228.17. Reporting Person will provide, upon request by the Commission staff, General Dynamics, or a General Dynamics shareholder, full information regarding the number of shares sold at each separate sales price.
Referenced by the price of 1 transaction in Table I.