SEC Form 4 · accession 0000891839-16-000246
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
Aug 16, 2016
Accepted (ET)
Aug 17, 2016 · 5:11 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 | Aug 16, 2016 | M | 4,974 | $6.90 | A | 23,144 | D | |
| Common StockF2 | Aug 16, 2016 | S | 4,974 | $18.0988 | D | 18,170 | D | |
| Common StockF3 | 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)F4 | $6.90 | Aug 16, 2016 | M | 4,974 | D | May 31, 2011 | May 31, 2017 | Common Stock | 4,974 | 0 | D |
| Stock Option (Right to Buy)F4 | $30.875 | holding | — | — | — | May 29, 2012 | May 29, 2018 | Common Stock | 576 | 576 | D |
| Stock Option (Right to Buy)F4 | $44.50 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2018 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F4 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 2,678 | 2,678 | D |
| Stock Option (Right to Buy)F4 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 1,609 | 1,609 | D |
| Stock Option (Right to Buy)F4 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 3,127 | 3,127 | D |
Explanation of responses
- F1Includes 209 shares acquired under the Graham Corporation Employee Stock Purchase Plan.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.015 to $18.214. Ms. Condame undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Shares 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.
- F4This option was previously reported by Ms. Condame.