Statement of Changes in Beneficial Ownership (4)
October 15 2020 - 9:38AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Howley W Nicholas |
2. Issuer Name and Ticker or Trading Symbol
TransDigm Group INC
[
TDG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Exec. Chairman of the Board |
(Last)
(First)
(Middle)
1301 EAST NINTH STREET, SUITE 3000 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/13/2020 |
(Street)
CLEVELAND, OH 44114
(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 | 10/13/2020 | | M | | 21548 | A | $82.67 | 21548 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 648 | D | $469.8135 (1) | 20900 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 1900 | D | $470.9918 (2) | 19000 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 2224 | D | $472.0116 (3) | 16776 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 5535 | D | $473.1286 (4) | 11241 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 7785 | D | $473.8496 (5) | 3456 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 1029 | D | $474.8931 (6) | 2427 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 1023 | D | $475.7699 (7) | 1404 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 103 | D | $476.61 | 1301 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 600 | D | $478.1737 (8) | 701 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 300 | D | $480.05 (9) | 401 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Common Stock | 10/13/2020 | | S | | 401 | D | $481.3752 (10) | 0 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
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 |
Stock Option | $82.67 | 10/13/2020 | | M | | | 21548 | 9/30/2014 | 3/4/2021 | Common Stock | 21548 | $0.00 | 64646 | I | W. Nicholas Howley Family Trust u/a/d 4/23/99 |
Explanation of Responses: |
(1) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $469.34 - $470.25. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(2) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $470.57 - $471.37. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(3) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $471.44 - $472.41. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(4) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $472.46 - $473.44. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(5) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $473.46 - $474.45. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(6) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $474.47 - $475.30. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(7) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $475.52 - $476.18. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(8) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $477.94 - $478.43. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(9) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $479.64 - $480.51. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
(10) | Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $481.00 - $481.81. The reporting person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. |
Remarks: All transactions reported hereunder were made pursuant to an established 10b5-1 Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Howley W Nicholas 1301 EAST NINTH STREET SUITE 3000 CLEVELAND, OH 44114 | X |
| Exec. Chairman of the Board |
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Signatures
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Halle Fine Terrion as attorney in fact for W. Nicholas Howley | | 10/15/2020 |
**Signature of Reporting Person | Date |
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