Statement of Changes in Beneficial Ownership (4)
02 Novembre 2022 - 10:54PM
Edgar (US Regulatory)
|
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Smith
Hudson |
2. Issuer Name and Ticker or Trading
Symbol SIFCO INDUSTRIES INC [ SIF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
|
(Last)
(First)
(Middle)
970 E. 64TH STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/1/2022
|
|
(Street)
CLEVELAND, OH 44103
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Voting Trust Certificates (1) |
11/1/2022 |
|
A |
V |
9700 (2) |
D |
$0 |
43020 |
D |
|
|
SIFCO Industries, Inc. Common
Stock |
|
|
|
|
|
|
|
48607 |
D |
|
|
SIFCO Industries, Inc. Common
Stock (3) |
|
|
|
|
|
|
|
6402 |
D |
|
|
SIFCO Industries, Inc. Common
Stock |
|
|
|
|
|
|
|
4400 |
I |
Owned by Spouse |
|
Voting Trust Certificates (4) |
|
|
|
|
|
|
|
121678 |
I |
Beneficiary of Trust |
|
Voting Trust Certificates (5) |
|
|
|
|
|
|
|
57068 |
I |
Beneficiary of Trust |
|
Voting Trust Certificates |
|
|
|
|
|
|
|
6255 |
I |
Owned by Spouse |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of
Responses: |
| (1) |
Voting Trust Certificates
are for common stock of SIFCO Industries, Inc. |
| (2) |
Represents gifts by the
Reporting Person of Voting Trust Certificates representing 9,700
shares of common stock of SIFCO Industries, Inc. |
| (3) |
Awarded 6,402 shares of the
SIFCO Industries, Inc. common stock, which are restricted as of the
date of the grant. Restriction to lapse on the day immediately
preceding the one year anniversary date of this award. |
| (4) |
Held in Trust by the Trustee
of the R. Smith Irrevocable Trust. |
| (5) |
Held in trust by Trustee of
the Charles H. Smith, Jr. Irrevocable Trust. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Smith Hudson
970 E. 64TH STREET
CLEVELAND, OH 44103 |
X |
|
|
|
Signatures
|
|
/s/ Elizabeth Button - by power of
attorney |
|
11/2/2022 |
| **Signature of
Reporting Person |
Date |
|
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
Sifco Industries (AMEX:SIF)
Graphique Historique de l'Action
De Jan 2023 à Fév 2023
Sifco Industries (AMEX:SIF)
Graphique Historique de l'Action
De Fév 2022 à Fév 2023
