Filing Details
- Accession Number:
- 0000891839-12-000066
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-01 17:23:45
- Reporting Period:
- 2012-07-31
- Filing Date:
- 2012-08-01
- Accepted Time:
- 2012-08-01 17:23:45
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
716314 | Graham Corp | GHM | General Industrial Machinery & Equipment (3560) | 161194720 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1249710 | R James Lines | C/O Graham Corporation 20 Florence Avenue Batavia NY 14020 | President And Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-07-31 | 50 | $17.20 | 41,534 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2012-07-31 | 4,450 | $17.22 | 45,984 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 5,570 | Indirect | See footnote |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | $30.88 | 2012-05-29 | 2018-05-29 | 2,532 | 2,532 | Direct |
Common Stock | Stock Option (Right to Buy) | $15.22 | 2012-05-28 | 2019-05-28 | 1,974 | 1,974 | Direct |
Common Stock | Stock Option (Right to Buy) | $15.25 | 2020-05-20 | 3,092 | 3,092 | Direct | |
Common Stock | Stock Option (Right to Buy) | $18.65 | 2022-05-30 | 10,894 | 10,894 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-05-29 | 2,532 | 2,532 | Direct |
2019-05-28 | 1,974 | 1,974 | Direct |
2020-05-20 | 3,092 | 3,092 | Direct |
2022-05-30 | 10,894 | 10,894 | Direct |
Footnotes
- Includes an additional 1,114 shares purchased under the Graham Corporation Employee Stock Purchase Plan.
- Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Mr. Lines's account, as to which Mr. Lines has sole voting power but no dispositive power, except in limited circumstances.
- This option was previously reported by Mr. Lines.
- This option was previously reported by Mr. Lines and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/20/10 grant date.
- This option was previously reported by Mr. Lines and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/30/12 grant date.