SEC Form 4 · accession 0000050725-16-000158
GRIFFON CORP · GFF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth L. Kaplan
Officer — Sr VP, Gen. Counsel and Secy
Period of report
Nov 12, 2016
Accepted (ET)
Nov 15, 2016 · 5:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000050725
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 12, 2016 | F | 22,893 | $19.85 | D | 101,160 | D | |
| Common StockF2 | Nov 15, 2016 | A | 44,000 | $0.00 | A | 145,160 | D | |
| Common StockF3 | holding | — | — | — | 900 | I | by ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by or delivered to the registrant upon vesting of restricted stock to satisfy tax withholding obligations of the reporting person.
- F2Restricted shares granted under the Company's 2011 Equity Incentive Plan in a transaction exempt under Rule 16b. Vesting of the restricted shares is partially dependent on the attainment of specified financial performance criteria; on November 15, 2016, it was certified that such financial performance criteria was satisfied. Subject to the reporting person's continued employment, the restricted shares will vest on November 11, 2017.
- F3Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report.