SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 09/20/2022 | 3. Issuer Name and Ticker or Trading Symbol DUCOMMUN INC /DE/ [ DCO ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. 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 Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock(1) | 5,831(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option(2) | 06/17/2020(3) | 06/17/2029 | Common Stock | 558 | 42.25 | D | |
Stock Option(2) | 10/23/2020(4) | 10/23/2029 | Common Stock | 850 | 40.07 | D |
Explanation of Responses: |
1. The amount listed includes: (1) 317 restricted stock units ("RSU"s) that will vest on May 7, 2023; (2) 804 RSUs that will vest in two equal annual amounts on each of January 11, 2023 and 2024; (3) 1,000 RSUs that will vest in three equal annual amounts on each of December 8, 2022, 2023 and 2024; (4) 2,000 RSUs that will vest in three annual amounts on each of April 22, 2023, 2024 and 2025; (5) 867 stock options previously exercised; and (6) 171 shares of common stock purchased through Ducommun Incorporated's Employee Stock Purchase Plan. |
2. This option represents the right to purchase common stock granted under Ducommun Incorporated's employee stock option plans, which are Rule 16b-3 plans. |
3. This option is fully vested and became exercisable on June 17, 2022. |
4. This option will fully vest and become exercisable on October 23, 2022. |
Remarks: |
/s/ Laureen S. Gonzalez by Rajiv A. Tata pursuant to August 19, 2022 Power of Attorney | 09/27/2022 | |
** 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 5 (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. |