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*
Rock Stacey G

(Last) (First) (Middle)
10680 TREENA STREET, SUITE 600

(Street)
SAN DIEGO CA 92131

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/27/2019
3. Issuer Name and Ticker or Trading Symbol
KRATOS DEFENSE & SECURITY SOLUTIONS, INC. [ KTOS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President, KTT Division
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 27,870(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Restricted Stock Units(2) (3) (3) Common Stock 5,000 $0 D
Restricted Stock Units(2) (4) (4) Common Stock 15,000 $0 D
Explanation of Responses:
1. Includes approximately 9,232 shares held through Issuer's 401(k) Plan.
2. Each restricted stock unit (RSU) represents a contingent right to receive one share of Issuer's common stock.
3. Reporting Person was granted 5,000 RSUs on January 4, 2018, which vest 100% on January 4, 2023, unless earlier vested or forfeited pursuant to the terms of the RSU agreement.
4. Reporting Person was granted 15,000 RSUs on February 27, 2019, which vest 100% on February 27, 2024, unless earlier vested or forfeited pursuant to the terms of the RSU agreement.
Stacey G. Rock, by Eva Yee, Attorney-In-Fact 03/01/2019
** 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.