SEC Form 4 · accession 0000067887-17-000047
MOOG INC. · MOGA/MOGB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy P Balkin
Officer — Treasurer
Period of report
Aug 3, 2017
Accepted (ET)
Aug 7, 2017 · 8:23 am 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 | Aug 3, 2017 | M | 2,800 | $35.12 | A | 2,800 | D | |
| Class A CommonF1 | Aug 3, 2017 | F | 1,866 | $74.65 | D | 934 | D | |
| Class A Common | Aug 4, 2017 | S | 934 | $74.7144 | D | 0 | D | |
| Class B CommonF2 | holding | — | — | — | 1,709 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SARF3,F4 | $35.12 | Aug 3, 2017 | M | 2,800 | D | — | Oct 31, 2018 | Class A Common | 2,800 | 0 | D |
| SARF3,F4 | $36.86 | holding | — | — | — | — | Nov 30, 2020 | Class A Common | 4,000 | 4,000 | D |
| SARF5,F4 | $63.04 | holding | — | — | — | — | Nov 17, 2025 | Class A Common | 667 | 667 | D |
| SARF3,F4 | $61.69 | holding | — | — | — | — | Nov 11, 2023 | Class A Common | 2,000 | 2,000 | D |
| SARF3,F4 | $41.82 | holding | — | — | — | — | Nov 30, 2021 | Class A Common | 4,000 | 4,000 | D |
| SARF5,F4 | $65.90 | holding | — | — | — | — | Nov 17, 2025 | Class B Common | 1,333 | 1,333 | D |
| SARF3,F4 | $26.66 | holding | — | — | — | — | Dec 1, 2019 | Class A Common | 900 | 900 | D |
| SARF3,F4 | $36.41 | holding | — | — | — | — | Nov 27, 2022 | Class A Common | 4,000 | 4,000 | D |
| SARF3,F4 | $74.38 | holding | — | — | — | — | Nov 11, 2024 | Class A Common | 2,000 | 2,000 | D |
| SARF5,F4 | $71.65 | holding | — | — | — | — | Nov 15, 2026 | Class B Common | 2,000 | 2,000 | D |
Explanation of responses
- F1This represents the difference between the number of SARs exercised (2,800) and the number of shares issued as a result of the exercise (934). 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 ($74.65) and the exercise price ($35.12). Additional shares are then withheld to satisfy the Company's tax withholding obligations.
- F2Reflects shares held in Moog Inc. Retirement Savings Plas as of the most recent statement to participants.
- F3Stock Appreciation Right (SAR) granted under the 2008 Appreciation Rights Plan.
- F4SARs become exercisable ratably over three years beginning on the first anniversary from the date of grant.
- F5Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan.