Ducommun Form 3/A / Rajiv A. Tata ownership change

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^*

Tata Rajiv A.

(Last)

(First)

(Middle)

200 SANDPOINTE AVENUE

SUITE 700

(Street)

SANTA ANA

92707

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/24/2020

3. Issuer Name and Ticker or Trading Symbol
DUCOMMUN INC /DE/ [ DCO ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
V.P., General Counsel

5. If Amendment, Date of Original Filed (Month/Day/Year)
01/30/2020

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⁽¹⁾	2,124⁽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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Stock Option⁽²⁾	04/10/2020⁽³⁾	04/10/2024	Common Stock	375	29	D
Stock Option⁽²⁾	05/14/2020⁽⁴⁾	05/14/2028	Common Stock	1,834	32.9	D
Stock Option⁽²⁾	06/17/2020⁽⁵⁾	06/17/2029	Common Stock	5,840	42.25	D
Stock Option⁽²⁾	10/10/2020⁽⁶⁾	10/10/2029	Common Stock	2,500	40.44	D

Explanation of Responses:

1. The amount listed includes: (1) 166 restricted stock units ("RSU"s) that vest on April 10, 2020; (2) 500 RSUs that will vest in in equal annual amounts on each of May 14, 2020 and 2021; (3) 590 RSUs that will vest in three equal annual amounts on each of June 17, 2020, 2021 and 2022; (4) 342 stock options previously exercised; and (5) 174 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. The option will vest in two equal installments on April 10, 2020 and 2021.

4. This option will vest in two equal installments on May 14, 2020 and 2021.

5. This option will vest in three equal installments on June 17, 2020, 2021 and 2022.

6. This option will vest in three equal installments on October 10, 2020, 2021 and 2022.

Remarks:

This amendment is being filed solely to correct a few clerical errors in the original Form 3 filed by the reporting person which inadvertently excluded: (1) from the number of securities beneficially owned by the reporting person as of January 24, 2020, 1,256 unvested restricted stock units, and (2) details regarding the number of derivative securities beneficially owned by the reporting person as of January 24, 2020.

	Rajiv A. Tata	04/13/2020
	** 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.

Ducommun (DCO) Form 3/ADUCOMMUN / Rajiv A. Tata ownership change