Statement of Changes in Beneficial Ownership (4)
May 21 2019 - 2:09PM
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
*
McCabe James F JR
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2. Issuer Name
and
Ticker or Trading Symbol
TRIUMPH GROUP INC
[
TGI
]
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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)
SVP & CFO
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(Last)
(First)
(Middle)
899 CASSATT ROAD, SUITE 210
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2019
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(Street)
BERWYN, PA 19312
(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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Common stock
(1)
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5/17/2019
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M
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3018
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A
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$0
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6291.071
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D
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Common stock
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5/17/2019
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F
(2)
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860
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D
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$20.75
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5431.071
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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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Performance-based Restricted Stock Units
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(1)
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5/17/2019
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M
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3018
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(1)
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(1)
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Common stock
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3018.0
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$0
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0
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D
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Restricted stock units
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(3)
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5/20/2019
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A
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15737
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(3)
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(3)
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Common stock
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15737.0
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$0
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15737
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D
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Explanation of Responses:
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(1)
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Common stock earned by the Reporting Person from a performance-based restricted stock units award granted in 2016 (the "PSU Award") due to the achievement of certain performance goals, as determined by the Compensation and Management Development Committee of the Issuer. The forfeiture restrictions for the underlying restricted stock units of the PSU Award lapsed on May 17, 2019.
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(2)
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This transaction represents the payment of a tax liability on the lapse of forfeiture restrictions on a derivative security and acquisition of the underlying shares.
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(3)
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Represents an award of restricted stock units, with restrictions lapsing as to 1/3 of the award on each of the first, second and third anniversaries of the date of grant. Earlier potential lapse of forfeiture events set forth in the Company's severance plans apply to this award.
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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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McCabe James F JR
899 CASSATT ROAD
SUITE 210
BERWYN, PA 19312
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SVP & CFO
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Signatures
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Jennifer H. Allen, POA for James F. McCabe
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5/21/2019
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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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