SEC Form 4 · accession 0000067887-17-000020
MOOG INC. · MOGA/MOGB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Joseph Trabert
Officer — Vice President
Period of report
Apr 10, 2017
Accepted (ET)
Apr 12, 2017 · 3:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000067887
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common | Apr 10, 2017 | M | 2,000 | $41.82 | A | 2,000 | D | |
| Class A CommonF1 | Apr 10, 2017 | F | 1,523 | $67.28 | D | 477 | D | |
| Class A Common | Apr 10, 2017 | M | 4,000 | $36.41 | A | 4,477 | D | |
| Class A CommonF2 | Apr 10, 2017 | F | 2,844 | $67.28 | D | 1,633 | D | |
| Class B CommonF3 | holding | — | — | — | 541 | I | 401 (k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SARF4,F5 | $41.82 | Apr 10, 2017 | M | 2,000 | D | — | Nov 30, 2021 | Class A Common | 2,000 | 0 | D |
| SARF4,F5 | $36.41 | Apr 10, 2017 | M | 4,000 | D | — | Nov 27, 2022 | Class A Common | 4,000 | 0 | D |
| SARF4,F5 | $61.69 | holding | — | — | — | — | Nov 11, 2023 | Class A Common | 2,000 | 2,000 | D |
| SARF4,F5 | $74.38 | holding | — | — | — | — | Nov 11, 2024 | Class A Common | 2,000 | 2,000 | D |
| SARF6,F5 | $63.04 | holding | — | — | — | — | Nov 17, 2025 | Class A Common | 3,333 | 3,333 | D |
| SARF6,F5 | $65.90 | holding | — | — | — | — | Nov 17, 2025 | Class B Common | 6,667 | 6,667 | D |
| SARF6,F5 | $71.65 | holding | — | — | — | — | Nov 15, 2026 | Class B Common | 10,000 | 10,000 | D |
Explanation of responses
- F1This represents the difference between the number of SARs exercised (2,000) and the number of shares issued as a result of the exercise (477). The number of shares to be issued under a SAR exercise is determined by multiplying the number of SARs being exercised by the difference between the FMV on the date of exercise ($67.28) and the exercise price ($41.82). Additional shares are then withheld to satisfy the Company's tax withholding obligations.
- F2This represents the difference between the number of SARs exercised (4,000) and the number of shares issued as a result of the exercise (1,156). The number of shares to be issued under a SAR exercise is determined by multiplying the number of SARs being exercised by the difference between the FMV on the date of exercise ($67.28) and the exercise price ($36.41). Additional shares are then withheld to satisfy the Company's tax withholding obligations.
- F3Reflects shares held in Moog Inc. Retirement Savings Plan as of the most recent statement to participants.
- F4Stock Appreciation Right (SAR) granted under the 2008 Appreciation Rights Plan.
- F5SARs become exercisable ratably over three years beginning on the first anniversary from the date of grant.
- F6Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan.