-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DsbcaFZRse+/wQun3+qehkuqiaqi7GuSDs9vf0HC41zNN2c2jjaf1s5I5Cgq5I1K Fx8rRxyxpjH5+9G3iWzQpA== 0001185986-02-000002.txt : 20020906 0001185986-02-000002.hdr.sgml : 20020906 20020906161815 ACCESSION NUMBER: 0001185986-02-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020828 FILED AS OF DATE: 20020906 COMPANY DATA: COMPANY CONFORMED NAME: GOODMAN CHARLES H CENTRAL INDEX KEY: 0001185986 DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 222 N. LASALLE STREET STREET 2: SUITE 2000 CITY: CHICAGO STATE: IL ZIP: 60601 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENERAL DYNAMICS CORP CENTRAL INDEX KEY: 0000040533 STANDARD INDUSTRIAL CLASSIFICATION: SHIP & BOAT BUILDING & REPAIRING [3730] IRS NUMBER: 131673581 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03671 FILM NUMBER: 02758684 BUSINESS ADDRESS: STREET 1: 3190 FAIRVIEW PARK DRIVE CITY: FALLS CHURCH STATE: VA ZIP: 22042 BUSINESS PHONE: 7038763000 MAIL ADDRESS: STREET 1: 3190 FAIRVIEW PARK DR CITY: FALLS CHURCH STATE: VA ZIP: 22042 4 1 charlesgoodman.txt FORM 4 FOR CHARLES H. GOODMAN FOR AUGUST 28, 2002 ------------------------------ OMB APPROVAL [ ] Check this box if no longer ------------------------------ subject to Section 16. Form 4 or OMB Number 3235-0287 Form 5 obligations may continue. Expires: 12-31-2001 See Instruction 1(b). Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF 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(f) of the Investment Company Act of 1940 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Goodman Charles H. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 222 North LaSalle Street, Suite 2000 - -------------------------------------------------------------------------------- (Street) Chicago Illinois 60601 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol General Dynamics Corporation (GD) - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year August, 2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [_] 10% Owner [_] Officer (give title below) [_] Other (specify below) - -------------------------------------------------------------------------------- 7. 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 Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/12/02 Note A V 288,300 A W - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/14/02 Note B V 220,521 D D J - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/14/02 Note C V 78,300 D $78.61 701 D J - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/12/02 Note A V 288,300 D 0 I Note A W - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1,100,000 I Note D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1,255,572 I Note E - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Note A: Transfer by will or the laws of descent or distribution from the Reporting Person's wife. Note B: Change in form of beneficial ownership. Note C: Change in form of beneficial ownership. Note D: Owned by First National Bank of Chicago, as Custodian (for the benefit of the Reporting Person) Note E: Owned by partnership - Areljay, L.P. (of which the Reporting Person is a partner in a partnership which is a partner) 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). (Over) SEC 1474(3-99) ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/14/02 Note C V 78,300 A $78.61 3,876,556 I Note F J - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 500 I Note G - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 2,000 I Note H - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 152,400 I Note I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/14/02 Note B V 220,521 A 220,521 I Note J J - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Note F: Owned by a partnership - The Crown Fund (of which the Reporting Person is a partner) Note G: Owned by a trust - Charles Grandchildren Trust (of which the Reporting Person is a co-trustee and his grandchildren are beneficiaries) Note H: Owned by a trust - James & Ann Goodman Trust (of which the Reporting Person is a beneficiary) Note I: Owned by a partnership - The Crown Fund II (of which the Reporting Person is a partner) Note J: Owned by a trust - Charles GD Trust (of which the Reporting Person is the trustee and a beneficiary) The Reporting Person disclaims beneficial ownership of the shares described in Note D through Note J, except to the extent of his beneficial interest in the entities that own these shares. 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). (Over) SEC 1474(3-99) FORM 4 (continued) Table II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ Phantom Stock Units 1 for 1 Note I A V 50.5 Note K Note K Common Stock 50.5 Note H 5,130.4 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: Note K: Phantom stock units payable at Reporting Person's retirement and acquired on February 8, 2002, May 10, 2002, and August 2, 2002 pursuant to General Dynamics Corporation's director compensation plan, at prices equal to $86.805, $100.160, and $81.055, respectively. /s/ Charles H. Goodman August 28, 2002 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** 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 provided is insufficient, see Instruction 6 for procedure. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----