SEC Form 4 · accession 0000891839-18-000065
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 30, 2018
Accepted (ET)
Jun 1, 2018 · 4:35 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 30, 2018 | A | 2,387 | $0.00 | A | 34,685 | D | |
| Common StockF2 | May 30, 2018 | A | 4,774 | $0.00 | A | 39,459 | D | |
| Common StockF3 | May 31, 2018 | F | 384 | $25.51 | D | 39,075 | 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)F4 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 3,571 | 3,571 | D |
| Stock Option (Right to Buy)F4 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 3,118 | 3,118 | D |
| Stock Option (Right to Buy)F4 | $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 performance-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 withheld to cover tax withholding obligations upon the vesting of a restricted stock award.
- F4This option was previously reported by Mr. Smith.