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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
SAR (5) | $ 35.12 | 08/22/2018 | M | 10,000 | (6) | 10/31/2018 | Class A Common | 20,500 | $ 0 | 10,500 | D | ||||
SAR (5) | $ 26.66 | (6) | 12/01/2019 | Class A Common | 15,375 | 15,375 | D | ||||||||
SAR (5) | $ 36.86 | (6) | 11/30/2020 | Class A Common | 20,500 | 20,500 | D | ||||||||
SAR (5) | $ 41.82 | (6) | 11/30/2021 | Class A Common | 20,500 | 20,500 | D | ||||||||
SAR (5) | $ 36.41 | (6) | 11/27/2022 | Class A Common | 20,500 | 20,500 | D | ||||||||
SAR (5) | $ 61.69 | (6) | 11/11/2023 | Class A Common | 10,000 | 10,000 | D | ||||||||
SAR (5) | $ 74.38 | (6) | 11/11/2024 | Class A Common | 10,000 | 10,000 | D | ||||||||
SAR (7) | $ 63.04 | (6) | 11/17/2025 | Class A Common | 3,333 | 3,333 | D | ||||||||
SAR (7) | $ 65.9 | (6) | 11/17/2025 | Class B Common | 6,667 | 6,667 | D | ||||||||
SAR (7) | $ 71.648 | (6) | 11/15/2026 | Class B Common | 10,000 | 10,000 | D | ||||||||
SAR (7) | $ 82.31 | (6) | 11/14/2027 | Class B Common | 6,181 | 6,181 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FISHBACK DONALD R SENECA ST & JAMISON RD EAST AURORA, NY 14052 |
X | CFO |
Timothy P. Balkin, as Power of Attorney for Donald R. Fishback | 08/23/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This transaction involved a gift of 320 shares by the reporting person to his son, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for Section 16 purposes or any other purpose. |
(2) | This represents the difference between the number of SARs exercised (10,000) and the number of shares issued as a result of the exercise (3,714). The number of shares to be issued under a SAR exercise is determined by multiplying the number of SARs being exercised by the difference between the FMV on the date of exercise ($80.31) and the exercise price ($35.12). Additional shares are then withheld to satisfy the Company's tax withholding obligations. |
(3) | Reflects shares held in Moog Inc. Retirement Savings Plan as of the most recent report to participants. |
(4) | Reflects 304 shares of Class B Common acquired under the Moog Inc. Employee Stock Purchase Plan on December 31, 2017 and July 1, 2018. |
(5) | Stock Appreciation Rights (SAR) granted under the 2008 Incentive Stock Option Plan. |
(6) | SARs become exercisable ratably over three years beginning on the first anniversary from the date of grant. |
(7) | Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan. |