FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
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Silk Mark J |
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2. Issuer Name and Ticker or Trading Symbol SIFCO INDUSTRIES INC [SIF]
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5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director
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__X__ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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970 E. 64TH STREET |
3. Date of Earliest Transaction (Month/Day/Year) 06/11/2020 |
CLEVELAND, OH 44103 |
4. If Amendment, Date Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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SIFCO Industries, Inc. Common Stock | 06/11/2020 |
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| 16,935 | A |
$4.22 (1) | 456,078 (2) | D |
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SIFCO Industries, Inc. Common Stock | 06/12/2020 |
| P |
| 6,217 | A |
$4.25 | 462,295 (2) | D |
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SIFCO Industries, Inc. Common Stock | 06/15/2020 |
| P |
| 8,652 | A |
$4.24 (3) | 470,947 (2) | D |
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SIFCO Industries, Inc. Common Stock |
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| 300,000 | I | By The HHS Trust (4) |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| 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. | SEC 1474 (9-02) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date (Month/Day/Year)
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7. Title and Amount of Underlying Securities (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Silk Mark J 970 E. 64TH STREET CLEVELAND, OH 44103 |
X
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X
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Signatures
/s/ Elizabeth Button - by power of attorney | |
06/15/2020 |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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). |
(1) | The transaction was executed in multiple trades at prices ranging from $4.15 to $4.25, inclusive. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, SIFCO Industries, Inc. or a shareholder of SIFCO Industries, Inc, full information regarding the number of shares and prices at which the transaction was effected. |
(2) | Includes 8,803 shares of the SIFCO Industries, Inc. common stock, which are restricted until January 29, 2021. |
(3) | The transaction was executed in multiple trades at prices ranging from $4.09 to $4.25, inclusive. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, SIFCO Industries, Inc. or a shareholder of SIFCO Industries, Inc, full information regarding the number of shares and prices at which the transaction was effected. |
(4) | A trust established for the benefit of Mr. Silk's children. |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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