SEC Form 4 · accession 0000891839-18-000067
GRAHAM CORP · GHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John N Rice
Officer — Vice President of Sales
Period of report
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 4:39 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 | 1,503 | $0.00 | A | 1,503 | D | |
| Common StockF2 | May 30, 2018 | A | 3,006 | $0.00 | A | 4,509 | D |
Table II — derivative securities
No Table II lines on this filing.
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.