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| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
DUCOMMUN INC /DE/ [ DCO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/21/2013 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 08/21/2013 | M | 10,000 | A | $24.34 | 89,427 | D | |||
| Common Stock | 08/21/2013 | F | 9,503 | D | $26.55 | 79,924 | D | |||
| Common Stock | 08/21/2013 | M | 5,000 | A | $18.23 | 84,924 | D | |||
| Common Stock | 08/21/2013 | F | 4,066 | D | $26.55 | 80,858 | D | |||
| Common Stock | 08/21/2013 | M | 5,000 | A | $18.04 | 85,858 | D | |||
| Common Stock | 08/21/2013 | F | 4,044 | D | $26.55 | 81,814 | D | |||
| Common Stock | 08/21/2013 | M | 10,000 | A | $21.61 | 91,814 | D | |||
| Common Stock | 08/21/2013 | F | 8,890 | D | $26.55 | 82,924 | D | |||
| Common Stock | 08/21/2013 | M | 12,000 | A | $9.81 | 94,924 | D | |||
| Common Stock | 08/21/2013 | F | 7,846 | D | $26.55 | 87,438 | D | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Option - Right to Buy(1) | $24.34 | 08/21/2013 | M | 10,000 | 06/18/2009(2) | 06/17/2015 | Common Stock | 10,000 | $0 | 10,000 | D | ||||
| Option - Right to Buy(1) | $18.23 | 08/21/2013 | M | 5,000 | 06/29/2010(3) | 06/28/2016 | Common Stock | 5,000 | $0 | 5,000 | D | ||||
| Option - Right to Buy(1) | $18.04 | 08/21/2013 | M | 5,000 | 06/23/2011(4) | 06/22/2017 | Common Stock | 5,000 | $0 | 10,000 | D | ||||
| Option - Right to Buy(1) | $21.61 | 08/21/2013 | M | 10,000 | 07/27/2012(5) | 07/26/2018 | Common Stock | 10,000 | $0 | 40,000 | D | ||||
| Option - Right to Buy(1) | $9.81 | 08/21/2013 | M | 12,000 | 07/01/2013(6) | 06/30/2019 | Common Stock | 12,000 | $0 | 38,000 | D | ||||
| Explanation of Responses: |
| 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 5,000 shares on each of June 18, 2009, June 18, 2010, June 18, 2011 and June 18, 2012. |
| 3. The option vested as to 5,000 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 5,500 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 7,500 shares on each of July 27, 2012, July 27, 2013, July 27, 2014 and July 27, 2015. |
| 6. The option vested or will vest as to 12,500 shares on each of July 1, 2013, July 1, 2014, July 1, 2015 and July 1, 2016. |
| /s/ Anthony J. Reardon | 08/23/2013 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||