Statement of Changes in Beneficial Ownership (4)
July 11 2013 - 4:35PM
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
*
BALL LAWRENCE J
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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)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Vice President
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(Last)
(First)
(Middle)
1811 MOUNTAINSIDE DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/9/2013
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(Street)
BLACKSBURG, VA 24060
(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 B Common
(1)
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6663
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I
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401 (k)
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Class A Common
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7/9/2013
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M
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10680
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A
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$56.75
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10680
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D
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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
(2)
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$23.88
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(3)
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1/14/2014
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Class A Common
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20250.0
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20250
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D
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Option to Buy
(2)
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$28.01
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(4)
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11/30/2014
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Class A Common
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20250.0
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20250
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D
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Option to Buy
(2)
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$28.94
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11/29/2015
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11/29/2015
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Class A Common
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20250.0
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20250
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D
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Option to Buy
(2)
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$36.67
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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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20250
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D
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Option to Buy
(2)
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$42.45
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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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20250
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D
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SAR
(5)
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$35.12
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7/9/2013
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M
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20500
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(6)
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10/31/2018
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Class A Common
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20500.0
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$35.12
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0
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D
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SAR
(5)
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$26.66
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7/9/2013
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M
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15375
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(7)
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12/1/2019
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Class A Common
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15375.0
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$26.66
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0
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D
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SAR
(5)
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$36.86
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(8)
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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
(5)
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$41.82
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(9)
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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
(5)
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$36.41
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(10)
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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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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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Option to buy granted under the 1998 and/or 2003 Incentive Stock Option Plan.
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(
3)
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Options exercisable as follows: 4,186 on 1/14/05, 4,186 on 1/14/06, 4,186 on 1/14/07, 4,186 on 1/14/08 and 3,506 on 1/14/09.
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(
4)
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Options are exercisable as follows: 581 on 11/30/09, 3,569 on 11/30/10, 3,568 on 11/30/11, 3,568 on 11/30/12, 3,568 on 11/30/13 and 5,396 on 11/30/14.
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(
5)
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Stock Appreciation Rights (SAR) granted under the 2008 Incentive Stock Option Plan.
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(
6)
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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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(
7)
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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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(
8)
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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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(
9)
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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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(
10)
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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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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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BALL LAWRENCE J
1811 MOUNTAINSIDE DRIVE
BLACKSBURG, VA 24060
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Vice President
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Signatures
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Timothy P. Balkin
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7/11/2013
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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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