SEC Form 4 · accession 0000067887-18-000036
MOOG INC. · MOGA/MOGB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald R Fishback
Officer — CFO · Director
Period of report
Aug 22, 2018
Accepted (ET)
Aug 24, 2018 · 8:51 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 | Dec 8, 2017 | G | 640 | $0.00 | D | 41,219 | D | |
| Class A Common | Dec 8, 2017 | G | 320 | $0.00 | A | 320 | I | Son |
| Class A Common | Aug 22, 2018 | M | 10,000 | $35.12 | A | 51,219 | D | |
| Class A CommonF2 | Aug 22, 2018 | F | 6,286 | $80.31 | D | 44,933 | D | |
| Class B CommonF3 | holding | — | — | — | 106 | I | 401 (k) | |
| Class B CommonF4 | holding | — | — | — | 304 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| SARF5,F6 | $35.12 | Aug 22, 2018 | M | 10,000 | D | — | Oct 31, 2018 | Class A Common | 20,500 | 10,500 | D |
| SARF5,F6 | $26.66 | holding | — | — | — | — | Dec 1, 2019 | Class A Common | 15,375 | 15,375 | D |
| SARF5,F6 | $36.86 | holding | — | — | — | — | Nov 30, 2020 | Class A Common | 20,500 | 20,500 | D |
| SARF5,F6 | $41.82 | holding | — | — | — | — | Nov 30, 2021 | Class A Common | 20,500 | 20,500 | D |
| SARF5,F6 | $36.41 | holding | — | — | — | — | Nov 27, 2022 | Class A Common | 20,500 | 20,500 | D |
| SARF5,F6 | $61.69 | holding | — | — | — | — | Nov 11, 2023 | Class A Common | 10,000 | 10,000 | D |
| SARF5,F6 | $74.38 | holding | — | — | — | — | Nov 11, 2024 | Class A Common | 10,000 | 10,000 | D |
| SARF7,F6 | $63.04 | holding | — | — | — | — | Nov 17, 2025 | Class A Common | 3,333 | 3,333 | D |
| SARF7,F6 | $65.90 | holding | — | — | — | — | Nov 17, 2025 | Class B Common | 6,667 | 6,667 | D |
| SARF7,F6 | $71.648 | holding | — | — | — | — | Nov 15, 2026 | Class B Common | 10,000 | 10,000 | D |
| SARF7,F6 | $82.31 | holding | — | — | — | — | Nov 14, 2027 | Class B Common | 6,181 | 6,181 | D |
Explanation of responses
- F1This transaction involved a gift of 320 shares by the reporting person to his son, who shares the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for Section 16 purposes or any other purpose.
- F2This represents the difference between the number of SARs exercised (10,000) and the number of shares issued as a result of the exercise (3,714). 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 ($80.31) and the exercise price ($35.12). 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 report to participants.
- F4Reflects 304 shares of Class B Common acquired under the Moog Inc. Employee Stock Purchase Plan on December 31, 2017 and July 1, 2018.
- F5Stock Appreciation Rights (SAR) granted under the 2008 Incentive Stock Option Plan.
- F6SARs become exercisable ratably over three years beginning on the first anniversary from the date of grant.
- F7Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan.