ESTERLINE TECHNOLOGIES CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-09: Reporting owner POSNER GARY J; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-01: Reporting owner POSNER GARY J; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-01: Reporting owner POSNER GARY J; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-11-18: Reporting owner Landecker Mark | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund | Selmo Brian A. | ATWOOD J RICHARD | ROMICK STEVEN T; Form 4; Security Call Option (obligation to sell); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-09 | POSNER GARY J Officer (Chief Account Ofcr/Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,600 0 owned after | $60.65 exercise price | 2016-12-12 | |
| 2016-12-01 | POSNER GARY J Officer (Chief Account Ofcr/Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,800 0 owned after | $51.08 exercise price | 2016-12-02 | |
| 2016-12-01 | POSNER GARY J Officer (Chief Account Ofcr/Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,100 0 owned after | $64.56 exercise price | 2016-12-02 | |
| 2016-11-18 | Landecker Mark | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund | Selmo Brian A. | ATWOOD J RICHARD | ROMICK STEVEN T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (obligation to sell) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −90 0 owned after | $70.00 exercise price | 2016-11-21 | |
| 2016-11-18 | Landecker Mark | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund | Selmo Brian A. | ATWOOD J RICHARD | ROMICK STEVEN T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (obligation to sell) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −69 0 owned after | $70.00 exercise price | 2016-11-21 | |
| 2016-11-17 | Landecker Mark | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund | Selmo Brian A. | ATWOOD J RICHARD | ROMICK STEVEN T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (obligation to sell) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −27 90 owned after | $70.00 exercise price | 2016-11-21 | |
| 2016-11-17 | Landecker Mark | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund | Selmo Brian A. | ATWOOD J RICHARD | ROMICK STEVEN T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (obligation to sell) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −15 69 owned after | $70.00 exercise price | 2016-11-21 | |
| 2016-11-08 | POSNER GARY J Officer (Chief Account Ofcr/Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,800 1,800 owned after | $71.85 exercise price | 2017-10-25 | |
| 2016-11-08 | YOST ALBERT S Officer (EVP, Pres--Advanced Materials) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,800 5,800 owned after | $71.85 exercise price | 2016-11-14 | |
| 2016-11-08 | GEORGE ROBERT DAVID Officer (EVP,CFO, Corporate Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,800 7,800 owned after | $71.85 exercise price | 2016-11-10 | |
| 2016-11-08 | Reusser Curtis C Director, Officer (Chairman, President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,100 26,100 owned after | $71.85 exercise price | 2016-11-10 | |
| 2016-11-08 | BENSON PAUL PATRICK Officer (EVP, Chief HR Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,100 2,100 owned after | $71.85 exercise price | 2016-11-10 | |
| 2016-11-08 | MASON MARCIA J Officer (EVP and General Counsel) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,200 5,200 owned after | $71.85 exercise price | 2016-11-10 | |
| 2016-11-08 | Ross Roger Alan Officer (EVP, Pres - Sensors & Systems) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,100 5,100 owned after | $71.85 exercise price | 2016-11-10 | |
| 2016-08-26 | YOST ALBERT S Officer (EVP, Pres--Advanced Materials) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,800 0 owned after | $51.08 exercise price | 2016-08-30 | |
| 2016-08-16 | Selmo Brian A. | Landecker Mark | ATWOOD J RICHARD | ROMICK STEVEN T | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (obligation to sell) Derivative · Indirect · See Footnotes | S Open market or private sale of non-derivative or derivative security | −117 117 owned after | $642.09 | 2016-08-18 | |
| 2016-08-16 | Selmo Brian A. | Landecker Mark | ATWOOD J RICHARD | ROMICK STEVEN T | First Pacific Advisors, LLC | FPA HAWKEYE FUND | FPA Hawkeye-7 Fund 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Call Option (obligation to sell) Derivative · Indirect · See Footnotes | S Open market or private sale of non-derivative or derivative security | −84 84 owned after | $642.09 | 2016-08-18 | |
| 2016-06-01 | GEORGE ROBERT DAVID Officer (VP,CFO, Corporate Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,800 0 owned after | $38.91 exercise price | 2016-06-02 | |
| 2016-05-31 | GEORGE ROBERT DAVID Officer (VP,CFO, Corporate Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 15,800 owned after | $38.91 exercise price | 2016-06-02 |