SEC Form 4 · accession 0000050725-16-000164
GRIFFON CORP · GFF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald J Kramer
Officer — CEO · Director
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 4:20 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 15, 2016 | A | 494,334 | $0.00 | A | 2,277,707 | D | |
| Common StockF2 | holding | — | — | — | 1,239 | I | By ESOP | |
| Common Stock | holding | — | — | — | 40,298 | I | By Spouse and Children |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted shares granted under the Company's 2011 Equity Incentive Plan in two transactions exempt under Rule 16b. Vesting of all 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 30, 2016.
- F2Reflects ESOP allocations that have occurred since the date of the reporting person's last ownership report.