SEC Form 4 · accession 0000891839-18-000069
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
Jun 4, 2018
Accepted (ET)
Jun 5, 2018 · 4:29 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 | Jun 4, 2018 | M | 3,571 | $15.22 | A | 42,646 | D | |
| Common Stock | Jun 4, 2018 | M | 3,118 | $15.25 | A | 45,764 | D | |
| Common StockF1 | Jun 4, 2018 | S | 6,689 | $25.94 | 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)F2 | $15.22 | Jun 4, 2018 | M | 3,571 | D | May 28, 2012 | May 28, 2019 | Common Stock | 3,571 | 0 | D |
| Stock Option (Right to Buy)F2 | $15.25 | Jun 4, 2018 | M | 3,118 | D | May 20, 2013 | May 20, 2020 | Common Stock | 3,118 | 0 | D |
| Stock Option (Right to Buy)F2 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 6,059 | 6,059 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.52 to $26.235, inclusive. Mr. Smith 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.
- F2This option was previously reported by Mr. Smith.