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MOOG INC. — Director's Dealing 2017
Nov 13, 2017
30876_dirs_2017-11-13_cb57b1f6-356b-4ced-9996-cedbb12d9a5b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MOOG INC. (MOGA/MOGB)
CIK: 0000067887
Period of Report: 2017-11-08
Reporting Person: AUBRECHT RICHARD A (Director, Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-08 | Class A Common | M | 20500 | $36.86 | Acquired | 66549 | Direct |
| 2017-11-08 | Class A Common | F | 14903 | $84.51 | Disposed | 51646 | Direct |
| 2017-11-08 | Class A Common | M | 20500 | $41.82 | Acquired | 72146 | Direct |
| 2017-11-08 | Class A Common | F | 15486 | $84.51 | Disposed | 56660 | Direct |
| 2017-11-08 | Class A Common | S | 4000 | $83.57 | Disposed | 52660 | Direct |
| 2017-11-09 | Class A Common | S | 4000 | $83.72 | Disposed | 48660 | Direct |
| 2017-11-10 | Class A Common | S | 3999 | $82.31 | Disposed | 44661 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-08 | SAR | $36.86 | M | 20500 | Disposed | 2020-11-30 | Class A Common (20500.0) | Direct |
| 2017-11-08 | SAR | $41.82 | M | 20500 | Disposed | 2021-11-30 | Class A Common (20500.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common | 23205 | Indirect |
| Class B Common | 57780 | Direct |
| Class B Common | 40566 | Indirect |
| Class B Common | 3708 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| SAR | $36.41 | 2022-11-27 | Class A Common (20500.0) | 20500 | Direct |
| SAR | $61.69 | 2023-11-11 | Class A Common (10000.0) | 10000 | Direct |
| SAR | $74.38 | 2024-11-11 | Class A Common (10000.0) | 10000 | Direct |
| SAR | $63.04 | 2025-11-17 | Class A Common (3333.0) | 3333 | Direct |
| SAR | $65.9 | 2025-11-17 | Class B Common (6667.0) | 6667 | Direct |
| SAR | $71.65 | 2026-11-15 | Class B Common (10000.0) | 10000 | Direct |
Footnotes
F1: This represents the difference between the number of SARs exercised (20,500) and the number of shares issued as a result of the exercise (5,597). 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 ($84.51) and the exercise price ($36.86). Additional shares are then withheld to satisfy the Company's tax withholding obligations.
F2: This represents the difference between the number of SARs exercised (20,500) and the number of shares issued as a result of the exercise (5,014). 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 ($84.51) and the exercise price ($41.82). Additional shares are then withheld to satisfy the Company's tax withholding obligations.
F3: Dr. Aubrecht disclaims any beneficial interest in shares owned by spouse.
F4: Reflects shares held in Moog Inc. Retirement Savings Plan as of the most recent report to participants.
F5: Stock Appreciation Rights (SAR) granted under the 2008 Incentive Stock Option Plan.
F6: SARs become exercisable ratably over three years beginning on the first anniversary from the date of grant.
F7: Stock Appreciation Rights (SAR) granted under the Moog Inc. 2014 Long Term Incentive Plan.