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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Buy (2) | $ 28.94 | 11/29/2015 | M | 20,250 | 11/29/2015 | 11/29/2015 | Class A Common | 20,250 | $ 28.94 | 0 | D | ||||
Option to Buy (2) | $ 42.45 | 11/26/2010 | 11/26/2017 | Class A Common | 20,250 | 20,250 | D | ||||||||
SAR (3) | $ 41.82 | (4) | 11/30/2021 | Class A Common | 20,500 | 20,500 | D | ||||||||
SAR (3) | $ 36.41 | (5) | 11/27/2022 | Class A Common | 20,500 | 20,500 | D | ||||||||
SAR (3) | $ 61.69 | (6) | 11/11/2023 | Class A Common | 10,000 | 10,000 | D | ||||||||
SAR (3) | $ 74.38 | (7) | 11/11/2024 | Class A Common | 10,000 | 10,000 | D | ||||||||
SAR (8) | $ 63.04 | (9) | 11/17/2025 | Class A Common | 3,333 | 3,333 | D | ||||||||
SAR (8) | $ 65.9 | 11/27/2015 | A | 6,667 | (10) | 11/17/2025(11) | Class B Common | 6,667 | $ 0 | 6,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BALL LAWRENCE J SENECA ST & JAMISOND RD EAST AURORA, NY 14052 |
Vice President |
Timothy P. Balkin, as Power of Attorney for Lawrence J. Ball | 12/01/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Reflects shares held in Moog Inc. Retirement Savings Plan as of the most recent report to participants. |
(2) | Option to buy granted under the 1998 and/or 2003 Incentive Stock Option Plan. |
(3) | Stock Appreciation Rights (SAR) granted under the 2008 Stock Appreciation Rights Plan. |
(4) | SAR exercisable as follows: 6,834 on 11/30/12, 6,833 on 11/30/13 and 6,833 on 11/30/14. |
(5) | SAR is exercisable as follows: 6,834 on 11/27/2013, 6,833 on 11/27/2014 and 6,833 on 11/27/2015. |
(6) | SAR is exercisable as follows: 3,334 on 11/11/2014, 3,333 on 11/11/2015 and 3,333 on 11/11/2016. |
(7) | SAR is exercisable as follows: 3,334 on 11/11/2015, 3,333 on 11/11/2016 and 3,333 on 11/11/2017. |
(8) | Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan. |
(9) | SARs exercisable as follows: 1,111 on 11/17/2016, 1,111 on 11/17/2017 and 1,111 on 11/17/2018. |
(10) | SAR is exercisable as follows: 2,223 on 11/17/2016, 2,222 on 11/17/2017 and 2,222 on 11/17/2018. |
(11) | Under the terms of the award, SARs expire ten years after the date of grant, which was November 17, 2015. For the purposes of this Form 4, the transaction date on which the SARs are acquired is the date on which the exercise price has fixed, which was the tenth calendar day after the date of grant. |