Statement of Changes in Beneficial Ownership (4)
November 02 2022 - 5:54PM
Edgar (US Regulatory)
FORM 4
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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
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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
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Smith Hudson |
2. Issuer Name and Ticker or Trading Symbol
SIFCO INDUSTRIES INC
[
SIF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
970 E. 64TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2022 |
(Street)
CLEVELAND, OH 44103
(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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Voting Trust Certificates (1) | 11/1/2022 | | A |
V
| 9700 (2) | D | $0 | 43020 | D | |
SIFCO Industries, Inc. Common Stock | | | | | | | | 48607 | D | |
SIFCO Industries, Inc. Common Stock (3) | | | | | | | | 6402 | D | |
SIFCO Industries, Inc. Common Stock | | | | | | | | 4400 | I | Owned by Spouse |
Voting Trust Certificates (4) | | | | | | | | 121678 | I | Beneficiary of Trust |
Voting Trust Certificates (5) | | | | | | | | 57068 | I | Beneficiary of Trust |
Voting Trust Certificates | | | | | | | | 6255 | I | Owned by Spouse |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Voting Trust Certificates are for common stock of SIFCO Industries, Inc. |
(2) | Represents gifts by the Reporting Person of Voting Trust Certificates representing 9,700 shares of common stock of SIFCO Industries, Inc. |
(3) | Awarded 6,402 shares of the SIFCO Industries, Inc. common stock, which are restricted as of the date of the grant. Restriction to lapse on the day immediately preceding the one year anniversary date of this award. |
(4) | Held in Trust by the Trustee of the R. Smith Irrevocable Trust. |
(5) | Held in trust by Trustee of the Charles H. Smith, Jr. Irrevocable Trust. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Smith Hudson 970 E. 64TH STREET CLEVELAND, OH 44103 | X |
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Signatures
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/s/ Elizabeth Button - by power of attorney | | 11/2/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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