# EDGAR Filing Document

**Accession Number:** 0001185064
**File Stem:** 0000899243-23-008032
**Filing Date:** 2023-3
**Character Count:** 8293
**Document Hash:** 4dcd749e5e9d953673629f94625dc5d8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-008032.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0000899243-23-008032

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230308

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** CROWN JAMES S
- **CENTRAL INDEX KEY:** 0001185064

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-03671
- **FILM NUMBER:** 23723797

**MAIL ADDRESS:**
- **STREET 1:** 222 N LASALLE STREET
- **STREET 2:** STE 2000
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60601
**ISSUER**: 

**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

**BUSINESS ADDRESS:**
- **STREET 1:** 11011 SUNSET HILLS RD
- **CITY:** RESTON
- **STATE:** VA
- **ZIP:** 20190
- **BUSINESS PHONE:** 703-876-3000

**MAIL ADDRESS:**
- **STREET 1:** 11011 SUNSET HILLS RD
- **CITY:** RESTON
- **STATE:** VA
- **ZIP:** 20190

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>CROWN JAMES S<br><sub>(Last) (First) (Middle)</sub><br>222 N. LASALLE STREET<br><sub>(Street)</sub><br>CHICAGO, IL 60601<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-08 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>GENERAL DYNAMICS CORP [ GD ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-08 |  | A |  | 375<sup>(1)</sup> | A | $0.00 | 19575 | D<sup>(2)</sup> |  |
| Common Stock |  |  |  |  |  |  |  | 5424092 | I | See ftn.<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 2511144 | I | See ftn.<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 7016153 | I | See ftn.<sup>(5)</sup> |
| Common Stock |  |  |  |  |  |  |  | 301892 | I | See ftn.<sup>(6)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Options | $227.58 | 2023-03-08 |  | A |  | 1780 |  | <sup>(7)</sup> | 2033-03-07 | Common Stock | 1780 | $0.00 | 1780 | D |  |

---

### Footnotes:

(1) Reflects shares of restricted stock that vest three years after the grant date, subject to continued service conditions.

(2) Includes 1,215 shares of restricted stock.

(3) Owned by HCNI II LLC. The reporting person is a member of HCNI II LLC and is a manager of its Manager, HCC Manager LLC. The reporting person disclaims beneficial ownership of the shares of Common Stock held by HCNI II LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.

(4) Owned by Areljay II LLC. The reporting person is a beneficiary of a trust that is a member of Areljay II LLC, and is a manager of its Manager, HCC Manager LLC. The reporting person disclaims beneficial ownership of the shares of Common Stock held by Areljay II LLC except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.

(5) Owned by a partnership, The Crown Fund, of which the reporting person is a partner. The reporting person disclaims beneficial ownership of the shares of Common Stock held by this entity except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. The amount reported as indirectly beneficially owned reflects a decrease due to a distribution of shares by the partnership to a partner of the partnership other than the reporting person. Such distribution was non-volitional on the part of the reporting person, who had no pecuniary interest in the distributed shares

(6) Owned by a partnership, Crown Fund II, of which the reporting person is a partner. The reporting person disclaims beneficial ownership of the shares of Common Stock held by this entity except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.

(7) One half of the options becomes exercisable on March 8, 2025 and the remaining half becomes exercisable on March 8, 2026.

**Signature:** /s/Angie Newhouse, Attorney in Fact  
**Date:** 2023-03-10

### Remarks:

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).

** 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.**