SEC Form 4 · accession 0000891839-16-000223
GRAHAM CORP · GHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan E Smith
Officer — VP of Operations
Period of report
May 28, 2016
Accepted (ET)
Jun 1, 2016 · 5:23 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 | 197 | $18.29 | D | 32,151 | D | |
| Common StockF1 | May 29, 2016 | F | 157 | $18.29 | D | 31,994 | D | |
| Common StockF1 | May 30, 2016 | F | 176 | $18.29 | D | 31,818 | D |
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)F2 | $30.875 | holding | — | — | — | May 29, 2012 | May 29, 2018 | Common Stock | 1,114 | 1,114 | D |
| Stock Option (Right to Buy)F2 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 3,571 | 3,571 | D |
| Stock Option (Right to Buy)F2 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 3,118 | 3,118 | D |
| Stock Option (Right to Buy)F2 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 6,059 | 6,059 | D |
Explanation of responses
- F1Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.
- F2This option was previously reported by Mr. Smith.