SEC Form 4 · accession 0000891839-17-000061
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 1, 2017
Accepted (ET)
May 3, 2017 · 4:46 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 Stock | May 1, 2017 | S | 3,000 | $21.9825 | D | 96,200 | D | |
| Common Stock | May 2, 2017 | S | 3,000 | $21.9442 | D | 93,200 | D | |
| Common Stock | May 3, 2017 | S | 3,000 | $21.586 | D | 90,200 | 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 | 2,532 | 2,532 | D |
| Stock Option (Right to Buy)F2 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 1,974 | 1,974 | D |
| Stock Option (Right to Buy)F2 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 3,092 | 3,092 | D |
| Stock Option (Right to Buy)F2 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 10,894 | 10,894 | D |
Explanation of responses
- F1This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Mr. Lines in March 2017.
- F2This option was previously reported by Mr. Lines.