SEC Form 4 · accession 0000891839-19-000037
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
Mar 5, 2019
Accepted (ET)
Mar 6, 2019 · 4:39 pm EST
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 | Mar 5, 2019 | M | 1,974 | $15.22 | A | 108,472 | D | |
| Common Stock | Mar 5, 2019 | M | 3,092 | $15.25 | A | 111,564 | D | |
| Common StockF1 | Mar 5, 2019 | S | 5,066 | $21.96 | D | 106,498 | 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 | Mar 5, 2019 | M | 1,974 | D | May 28, 2012 | May 28, 2019 | Common Stock | 1,974 | 0 | D |
| Stock Option (Right to Buy)F2 | $15.25 | Mar 5, 2019 | M | 3,092 | D | May 20, 2013 | May 20, 2020 | Common Stock | 3,092 | 0 | 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
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.848 to $21.9941, inclusive. Mr. Lines undertakes to provide to Graham Corporation, any security holder of Graham Corporation, 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 range set forth in this footnote.
- F2This option was previously reported by Mr. Lines.