SEC Form 4 · accession 0000891839-15-000066
GRAHAM CORP · GHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer R Condame
Officer — CAO and Controller
Period of report
May 28, 2015
Accepted (ET)
Jun 1, 2015 · 5:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000716314
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 28, 2015 | A | 860 | $0.00 | A | 11,302 | D | |
| Common StockF3 | May 28, 2015 | A | 1,720 | $0.00 | A | 13,022 | D | |
| Common StockF4 | May 28, 2015 | D | 573 | $0.00 | D | 12,449 | D | |
| Common StockF5 | holding | — | — | — | 2,506 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F6 | $7.976 | holding | — | — | — | Jun 1, 2010 | Jun 1, 2016 | Common Stock | 500 | 500 | D |
| Stock Option (Right to Buy)F6 | $6.90 | holding | — | — | — | May 31, 2011 | May 31, 2017 | Common Stock | 4,974 | 4,974 | D |
| Stock Option (Right to Buy)F6 | $30.875 | holding | — | — | — | May 29, 2012 | May 29, 2018 | Common Stock | 576 | 576 | D |
| Stock Option (Right to Buy)F6 | $44.50 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2018 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F6 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 2,678 | 2,678 | D |
| Stock Option (Right to Buy)F6 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 1,609 | 1,609 | D |
| Stock Option (Right to Buy)F6 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 3,127 | 3,127 | D |
Explanation of responses
- F1This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3.
- F2Includes 224 shares acquired under the Graham Corporation Employee Stock Purchase Plan.
- F3This performance-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria.
- F4Shares forfeited under the terms of Ms. Condame's 5/30/12 performance-vested restricted stock award.
- F5Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Ms. Condame's account, as to which Ms. Condame has sole voting power but no dispositive power, except in limited circumstances.
- F6This option was previously reported by Ms. Condame.