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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option - Right to Buy (1) | $ 24.34 | 05/03/2013 | D | 5,000 | 06/18/2009(2) | 06/17/2015 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Option - Right to Buy (1) | $ 18.23 | 05/03/2013 | D | 3,750 | 06/29/2010(3) | 06/28/2016 | Common Stock | 3,750 | $ 0 | 1,250 | D | ||||
Option - Right to Buy (1) | $ 18.04 | 05/03/2013 | D | 3,000 | 06/23/2011(4) | 06/22/2017 | Common Stock | 3,000 | $ 0 | 3,000 | D | ||||
Option - Right to Buy (1) | $ 21.61 | 05/03/2013 | D | 1,750 | 07/27/2012(5) | 07/26/2018 | Common Stock | 1,750 | $ 0 | 5,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WILLIAMS SAMUEL D DUCOMMUN INCORPORATED 23301 WILMINGTON AVE. CARSON, CA 90745-6209 |
VP, Accounting |
/s/ Samuel D. Williams | 05/03/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The option represents the right to purchase common stock granted under the Ducommun Incorporated Employee Stock Option Plans, which are Rule 16b-3 plans. |
(2) | The option vested as to 1,250 shares on each of June 18, 2009, June 18, 2010, June 18, 2011 and June 18, 2012. |
(3) | The option vested or will vest as to 1,250 shares on each of June 29, 2010, June 29, 2011, June 29, 2012 and June 29, 2013. |
(4) | The option vested or will vest as to 1,500 shares on each of June 23, 2011, June 23, 2012, June 23, 2013 and June 23, 2014. |
(5) | The option vested or will vest as to 1,750 shares on each of July 27, 2012, July 27, 2013, July 27, 2014 and July 27, 2015. |