Item 1.
|
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.
Item 2.
|
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 Agreement).
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. Carlsons residence address is 31556 Tres Lomas, Bulverde, TX 78163.
Mr. Smiths 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. Carlsons present principal occupation is homemaker.
Mr. Smiths 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
States.
Item 3.
|
Source and Amount of Funds or Other Consideration
|
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.
Item 4.
|
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).
Page 4 of 6