SEC Form 4 · accession 0000891839-17-000086
GRAHAM CORP · GHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan E Smith
Officer — VP & General Manager - Batavia
Period of report
May 31, 2017
Accepted (ET)
Jun 2, 2017 · 4:20 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 31, 2017 | A | 2,879 | $0.00 | A | 33,230 | D | |
| Common StockF2 | May 31, 2017 | A | 5,758 | $0.00 | A | 38,988 | D | |
| Common StockF3 | May 31, 2017 | D | 2,616 | $0.00 | D | 36,372 | D | |
| Common StockF4 | May 31, 2017 | D | 3,290 | $0.00 | D | 33,082 | 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)F5 | $30.875 | holding | — | — | — | May 29, 2012 | May 29, 2018 | Common Stock | 1,114 | 1,114 | D |
| Stock Option (Right to Buy)F5 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 3,571 | 3,571 | D |
| Stock Option (Right to Buy)F5 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 3,118 | 3,118 | D |
| Stock Option (Right to Buy)F5 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 6,059 | 6,059 | 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.
- F2This 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 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria.
- F3Shares forfeited under the terms of Mr. Smith's 5/29/14 performance-vested restricted stock award.
- F4Shares forfeited under the terms of Mr. Smith's 5/28/15 performance-vested restricted stock award.
- F5This option was previously reported by Mr. Smith.