Filing Details
- Accession Number:
- 0000891839-12-000088
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-07 16:34:50
- Reporting Period:
- 2012-12-06
- Filing Date:
- 2012-12-07
- Accepted Time:
- 2012-12-07 16:34:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1408288 | E Alan Smith | C/O Graham Corporation 20 Florence Avenue Batavia NY 14020 | Vp Of Operations | No | Yes | No | 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 | 2012-12-06 | 3,750 | $10.84 | 18,584 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-12-06 | 100 | $18.86 | 18,484 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 100 | $18.81 | 18,384 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 100 | $18.78 | 18,284 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 100 | $18.75 | 18,184 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 600 | $18.74 | 17,584 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 2 | $18.73 | 17,582 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 100 | $18.68 | 17,482 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 1,248 | $18.64 | 16,234 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2012-12-06 | 1,300 | $18.61 | 14,934 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-12-06 | 3,750 | $0.00 | 3,750 | $10.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-07-26 | 2017-07-26 | No | 4 | M | Direct |
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 | 1,114 | 1,114 | Direct |
| Common Stock | Stock Option (Right to Buy) | $15.22 | 2012-05-28 | 2019-05-28 | 3,571 | 3,571 | Direct |
| Common Stock | Stock Option (Right to Buy) | $15.25 | 2020-05-20 | 3,118 | 3,118 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $18.65 | 2022-05-30 | 6,059 | 6,059 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-05-29 | 1,114 | 1,114 | Direct |
| 2019-05-28 | 3,571 | 3,571 | Direct |
| 2020-05-20 | 3,118 | 3,118 | Direct |
| 2022-05-30 | 6,059 | 6,059 | Direct |
Footnotes
- This option was previously reported by Mr. Smith.
- This option was previously reported by Mr. Smith 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. Smith and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/30/12 grant date.
Billionaire Hedge Funds
