Annual Statement of Changes in Beneficial Ownership (5)
November 08 2019 - 5:01PM
Edgar (US Regulatory)
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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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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0362
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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
*
FISHBACK DONALD R | 2. Issuer Name and Ticker or Trading SymbolMOOG INC. [MOGA/MOGB] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CFO |
(Last)
(First)
(Middle)
SENECA ST & JAMISON RD | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 9/28/2019 |
(Street)
EAST AURORA, NY 14052
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Class A Common | 7/29/2019 | | G | 35479 (1) | D | $0 | 15233 | D | |
Class A Common | 7/29/2019 | | G | 35479 (1) | A | $0 | 35479 (1) | I | Trust |
Class A Common | 8/13/2019 | | G | 375 | D | $0 | 35104 | I | Trust |
Class A Common | 8/14/2019 | | G | 375 | D | $0 | 34729 | I | Trust |
Class B Common | | | | | | | 1679 | D | |
Class B Common (2) | | | | | | | 264 | I | 401 (k) |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
SAR (3) | $36.86 | | | | | | (4) | 11/30/2020 | Class A Common | 20500.0 | | 20500 | D | |
SAR (3) | $41.82 | | | | | | (4) | 11/30/2021 | Class A Common | 20500.0 | | 20500 | D | |
SAR (3) | $36.41 | | | | | | (4) | 11/27/2022 | Class A Common | 20500.0 | | 20500 | D | |
SAR (3) | $61.69 | | | | | | (4) | 11/11/2023 | Class A Common | 10000.0 | | 10000 | D | |
SAR (3) | $74.38 | | | | | | (4) | 11/11/2024 | Class A Common | 10000.0 | | 10000 | D | |
SAR (5) | $63.04 | | | | | | (4) | 11/17/2025 | Class A Common | 3333.0 | | 3333 | D | |
SAR (5) | $65.9 | | | | | | (4) | 11/17/2025 | Class B Common | 6667.0 | | 6667 | D | |
SAR (5) | $71.648 | | | | | | (4) | 11/15/2026 | Class B Common | 10000.0 | | 10000 | D | |
SAR (5) | $82.31 | | | | | | (4) | 11/14/2027 | Class B Common | 6181.0 | | 6181 | D | |
SAR (5) | $80.19 | | | | | | (4) | 11/13/2028 | Class B Common | 6988.0 | | 6988 | D | |
Explanation of Responses: |
(1) | On July 29, 2019, 35,479 shares of Class A common stock were transferred to a revocable trust, of which the reporting person's spouse is the sole beneficiary and the sole trustee. |
(2) | Reflects shares held in Moog Inc. Retirement Savings Plan as of the most recent report to participants. |
(3) | Stock Appreciation Rights (SAR) granted under the 2008 Incentive Stock Option Plan. |
(4) | SARs become exercisable ratably over three years beginning on the first anniversary from the date of grant. |
(5) | Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FISHBACK DONALD R SENECA ST & JAMISON RD EAST AURORA, NY 14052 | X |
| CFO |
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Signatures
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Timothy P. Balkin, as Power of Attorney for Donald R. Fishback | | 11/8/2019 |
**Signature of Reporting Person | Date |
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