Statement of Changes in Beneficial Ownership (4)
September 08 2016 - 11:29AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
AUBRECHT RICHARD A
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2. Issuer Name
and
Ticker or Trading Symbol
MOOG INC.
[
MOGA/MOGB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Vice President
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(Last)
(First)
(Middle)
SENECA ST AND JAMISON RD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/6/2016
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(Street)
EAST AURORA, NY 14052
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common
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12/8/2015
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G
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V
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4800
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D
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$0
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56086
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D
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Class A Common
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9/6/2016
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M
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20250
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A
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$36.67
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76336
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D
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Class A Common
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9/6/2016
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F
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12264
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D
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$60.55
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64072
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D
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Class A Common
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9/6/2016
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F
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2953
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D
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$60.55
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61119
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D
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Class A Common
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9/6/2016
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M
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20250
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A
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$42.45
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81369
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D
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Class A Common
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9/6/2016
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F
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14197
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D
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$60.55
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67172
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D
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Class A Common
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9/6/2016
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F
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2238
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D
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$60.55
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64934
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D
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Class A Common
(1)
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8678
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I
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401 (k)
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Class A Common
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23205
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I
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Spouse
(2)
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Class B Common
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57780
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D
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Class B Common
(1)
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31975
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I
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401 (k)
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Class B Common
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3708
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I
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Spouse
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option to Buy
(3)
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$36.67
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9/6/2016
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M
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20250
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11/28/2009
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11/28/2016
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Class A Common
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20250.0
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$36.67
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0
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D
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Option to Buy
(3)
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$42.45
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9/6/2016
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M
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20250
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11/26/2010
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11/26/2017
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Class A Common
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20250.0
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$42.45
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0
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D
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SAR
(4)
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$35.12
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(5)
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10/31/2018
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Class A Common
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20500.0
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20500
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D
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SAR
(4)
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$26.66
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(6)
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12/1/2019
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Class A Common
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15375.0
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15375
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D
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SAR
(4)
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$36.86
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(7)
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11/30/2020
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Class A Common
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20500.0
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20500
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D
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SAR
(4)
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$41.82
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(8)
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11/30/2021
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Class A Common
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20500.0
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20500
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D
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SAR
(4)
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$36.41
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(9)
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11/27/2022
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Class A Common
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20500.0
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20500
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D
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SAR
(4)
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$61.69
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(10)
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11/11/2023
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Class A Common
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10000.0
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10000
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D
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SAR
(4)
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$74.38
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(11)
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11/11/2024
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Class A Common
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10000.0
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10000
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D
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SAR
(12)
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$63.04
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(13)
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11/17/2025
(14)
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Class A Common
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3333.0
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3333
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D
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SAR
(12)
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$65.9
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(15)
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11/17/2025
(14)
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Class B Common
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6667.0
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6667
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D
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Explanation of Responses:
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(
1)
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Reflects shares held in Moog Inc. Retirement Savings Plan as of the most recent report to participants.
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(
2)
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Dr. Aubrecht disclaims any beneficial interest in shares owned by spouse.
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(
3)
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Option to buy granted under the 1998 and/or 2003 Incentive Stock Option Plan.
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(
4)
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Stock Appreciation Rights (SAR) granted under the 2008 Incentive Stock Option Plan.
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(
5)
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SAR exercisable as follows: 6,834 on 10/31/09, 6,833 on 10/31/10 and 6,833 on 10/31/11.
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(
6)
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SAR exercisable as follows: 5,125 on 12/1/10, 5,125 on 12/1/11 and 5,125 on 12/1/12.
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(
7)
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SAR exercisable as follows: 6,834 on 11/30/11, 6,833 on 11/30/12 and 6,833 on 11/30/13.
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(
8)
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SAR exercisable as follows: 6,834 on 11/30/12, 6,833 on 11/30/13 and 6,833 on 11/30/14.
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(
9)
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SAR is exercisable as follows: 6,834 on 11/27/2013, 6,833 on 11/27/2014 and 6,833 on 11/27/2015.
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(
10)
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SAR is exercisable as follows: 3,334 on 11/11/2014, 3,333 on 11/11/2015 and 3,333 on 11/11/2016.
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(
11)
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SAR is exercisable as follows: 3,334 on 11/11/2015, 3,333 on 11/11/2016 and 3,333 on 11/11/2017.
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(
12)
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Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan.
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(
13)
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SARs exercisable as follows: 1,111 on 11/17/2016, 1,111 on 11/17/2017 and 1,111 on 11/17/2018.
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(
14)
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Under the terms of the grant, SARs expire ten years after the date of grant, which was November 17, 2015. For the purposes of this Form 4, the transaction date on which the SARs are acquired is the date on which the exercise price has fixed, which was the tenth calendar day after the date of grant.
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(
15)
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SAR is exercisable as follows: 2,223 on 11/17/2016, 2,222 on 11/17/2017 and 2,222 on 11/17/2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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AUBRECHT RICHARD A
SENECA ST AND JAMISON RD
EAST AURORA, NY 14052
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X
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Vice President
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Signatures
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Timothy P. Balkin, as Power of Attorney for Richard A. Aubrecht
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9/8/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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