Security and Issuer
This statement relates to Common Stock, par value $1.00 per share
(“Common Stock”), of SIFCO Industries, Inc., an Ohio corporation
(“SIFCO”), whose principal executive offices are located at 970
East 64th Street, Cleveland, Ohio 44103.
Identity and Background
This statement is filed by Janice G. Carlson and Charles H. Smith,
III as trustees (collectively, the “Trustees”) under the Voting
Trust Agreement, dated January 31, 2017 (as extended by that
certain Voting Trust Extension Agreement, dated January 18,
2019) and the Voting Trust Extension Agreement, dated
January 27, 2021 and effective as of February 1, 2021,
which extends the Voting Trust until February 1 2023, as per
the attached exhibit (collectively, the “Voting Trust
Information as to each of these individuals is set forth below:
(a) This statement is being filed by: Janice G. Carlson and Charles
H. Smith, III.
(b) The addresses of the reporting persons are as follows:
Mrs. Carlson’s residence address is 31556 Tres Lomas,
Bulverde, TX 78163.
Mr. Smith’s residence address is 10506 Chancery Court,
Fairfax, VA 22030.
(c) The reporting persons’ present principal occupations and, where
applicable, name, principal business and address of such employment
are as follows:
Mrs. Carlson’s present principal occupation is homemaker.
Mr. Smith’s present principal occupation is Chief Financial
Officer at 3-iT Accounting
and Financial Services Corp. (an accounting firm), 1800 Diagonal
Road, Suite 600, Alexandria, VA 22314.
(d) Neither Mrs. Carlson nor Mr. Smith has, during the
last five years, been convicted in any criminal proceeding
(excluding traffic violations or similar misdemeanors).
(e) Neither Mrs. Carlson nor Mr. Smith has, during the
last five years, been a party to any civil proceeding as a result
of which he or she is subject to any judgment, decree or final
order enjoining future violations of, or prohibiting or mandating
activities subject to, federal or state securities laws or finding
any violations with respect to such laws.
(f) Mrs. Carlson and Mr. Smith are citizens of the United
Source and Amount of Funds or Other
Pursuant to the terms of the Voting Trust Agreement, the
shareholders party to such agreement have deposited with
Mrs. Carlson and Mr. Smith, as Trustees, 1,775,498 shares
of SIFCO Common Stock.
Purpose of Transaction
The purpose of the formation of the Voting Trust Agreement is to
continue the investment in SIFCO of the shareholders party to the
Voting Trust Agreement and to continue to maintain the stability of
SIFCO through the Trustees’ exercise of voting control over the
SIFCO Common Stock in the Voting Trust. This statement is being
filed due to the entrance of the signing shareholders into a new
Voting Trust Agreement, which has a term of two years (unless
extended or earlier terminated in accordance with its terms).
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