SEC Form 4 · accession 0000891839-16-000222
GRAHAM CORP · GHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James R Lines
Officer — President and CEO · Director
Period of report
May 28, 2016
Accepted (ET)
Jun 1, 2016 · 5:15 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 | May 28, 2016 | F | 403 | $18.29 | D | 94,299 | D | |
| Common StockF1 | May 29, 2016 | F | 320 | $18.29 | D | 93,979 | D | |
| Common StockF1 | May 30, 2016 | F | 349 | $18.29 | D | 93,630 | D | |
| Common StockF2 | holding | — | — | — | 5,570 | 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)F3 | $30.875 | holding | — | — | — | May 29, 2012 | May 29, 2018 | Common Stock | 2,532 | 2,532 | D |
| Stock Option (Right to Buy)F3 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 1,974 | 1,974 | D |
| Stock Option (Right to Buy)F3 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 3,092 | 3,092 | D |
| Stock Option (Right to Buy)F3 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 10,894 | 10,894 | D |
Explanation of responses
- F1Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.
- F2Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Mr. Lines's account, as to which Mr. Lines has sole voting power but no dispositive power, except in limited circumstances.
- F3This option was previously reported by Mr. Lines.