New York | 16-0757636 | |
(State or other jurisdiction of | (I.R.S. Employer Identification No.) | |
incorporation or organization) |
MOOG INC. RETIREMENT SAVINGS PLAN |
(Full Title of the Plan) |
Large accelerated filer | þ | Accelerated filer | o | |||
Non-accelerated filer (Do not check if a smaller reporting company) | o | Smaller reporting company | o |
Title of Securities to be Registered | Amount to be Registered(1) | Proposed Maximum Offering Price Per Share(2) | Proposed Maximum Aggregate Offering Price(2) | Amount of Registration Fee | ||||
Class B Common Stock, par value $1.00 | 2,500,000 | $60.07 | $150,175,000 | $15,122.62 |
(1) | Represents additional shares that may be issued under the Moog Inc. Retirement Savings Plan (the “Plan”). This Registration Statement shall also cover any additional shares of Class B Common Stock which become issuable under the Plan by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt of consideration, which results in an increase in the number of outstanding shares of the Registrant’s Class B Common Stock. |
(2) | Estimated solely for the purpose of calculating the registration fee in accordance with Rule 457(h)(1). Pursuant to Rule 457(c), the price per share and aggregate offering price are based upon the average of the reported high and low prices for the shares on the New York Stock Exchange on August 26, 2016. |
(a) | Moog’s Annual Report on Form 10-K for the year ended October 3, 2015, filed with the Commission on November 16, 2015; |
(b) | Moog’s Quarterly Reports on Form 10-Q for the quarters ended January 2, 2016, April 2, 2016 and July 2, 2016, filed with the Commission on February 1, 2016, May 2, 2016 and August 1, 2016, respectively; |
(c) | The Plan’s Annual Report on Form 11-K for the year ended September 30, 2015 filed with the Commission on March 11, 2016; |
(d) | All other reports filed by Moog pursuant to Section 13(a) of 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) since the end of the fiscal year covered by the Annual Report referred to in (a) above, including Moog’s Current Reports on Form 8-K filed with the Commission on November 20, 2015 (as amended by Amendment No. 1 thereto on Form 8-K/A filed on November 24, 2015), December 4, 2016, January 19, 2016, January 29, 2016, April 15, 2016, April 29, 2016, June 29, 2016 and July 29, 2016; and, |
(e) | The description of Moog’s Class B Common Stock contained in the Registration Statement on Form 8-A filed with the Commission on August 21, 2001 under Section 12(g) of the Exchange Act, including any amendments or reports filed for the purpose of updating such description. |
(a) | Moog hereby undertakes: |
(1) | To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement: |
(i) | To include any prospectus required by Section 10(a)(3) of the Securities Act. |
(ii) | To reflect in the prospectus any facts or events arising after the effective date of the Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the Registration Statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in |
(iii) | To include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the Registration Statement; provided, however, that paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in periodic reports filed with or furnished to the Commission by Moog pursuant to Section 13 or Section 15(d) of the Exchange Act that are incorporated by reference in this Registration Statement. |
(2) | That for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
(3) | To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. |
(b) | Moog hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of Moog’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act, (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to section 15(d) of the Exchange Act) that is incorporated by reference in the Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
(c) | Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of Moog pursuant to the foregoing provisions, or otherwise, Moog has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by Moog of expenses incurred or paid by a director, officer or controlling person of Moog in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, Moog will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question of whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue. |
Signature | Title | Date |
/s/ John R. Scannell John R. Scannell | Chairman of the Board, Chief Executive Officer (Principal Executive Officer) and Director | August 30, 2016 |
/s/ Donald. R. Fishback Donald R. Fishback | Vice President and Chief Financial Officer (Principal Financial Officer) and Director | August 30, 2016 |
/s/ Jennifer Walter Jennifer Walter | Controller (Principal Accounting Officer) | August 30, 2016 |
/s/ Richard A. Aubrecht Richard A. Aubrecht | Director | August 30, 2016 |
/s/ William G. Gisel Jr. William G. Gisel Jr. | Director | August 30, 2016 |
/s/ Peter J. Gundermann Peter J. Gundermann | Director | August 30, 2016 |
/s/ Kraig H. Kayser Kraig H. Kayser | Director | August 30, 2016 |
/s/ R. Bradley Lawrence R. Bradley Lawrence | Director | August 30, 2016 |
/s/ Brian J. Lipke Brian J. Lipke | Director | August 30, 2016 |
/s/ Brenda L. Reichelderfer Brenda L. Reichelderfer | Director | August 30, 2016 |
By: | /s/ Gary A. Szakmary |
Gary A. Szakmary, Member of Administrative Committee |
EXHIBIT INDEX | |
EXHIBIT NO. | DESCRIPTION |
4.1 | Restatement of the Moog Inc. Retirement Savings Plan Effective October 1, 2011 |
4.2 | First Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
4.3 | Second Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
4.4 | Third Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
4.5 | Fourth Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
4.6 | Fifth Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
4.7 | Sixth Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
4.8 | Seventh Amendment to the Restatement of the Moog Inc. Retirement Savings Plan |
5.1 | Opinion of Hodgson Russ LLP. |
23.1 | Consent of Ernst & Young LLP. |
23.2 | Consent of Freed Maxick CPAs, P.C. |
23.3 | Consent of Hodgson Russ LLP (included in exhibit 5.1). |
24.1 | Power of attorney (included on signature page). |