Filing Details
- Accession Number:
- 0000891839-16-000246
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-17 17:11:45
- Reporting Period:
- 2016-08-16
- Filing Date:
- 2016-08-17
- Accepted Time:
- 2016-08-17 17:11:45
- 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 |
---|---|---|---|---|---|---|---|
1441494 | R Jennifer Condame | C/O Graham Corporation 20 Florence Avenue Batavia NY 14020 | Cao And Controller | 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 | 2016-08-16 | 4,974 | $6.90 | 23,144 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-16 | 4,974 | $18.10 | 18,170 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | 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 | 2016-08-16 | 4,974 | $0.00 | 4,974 | $6.90 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-05-31 | 2017-05-31 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,506 | 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 | 576 | 576 | Direct |
Common Stock | Stock Option (Right to Buy) | $44.50 | 2012-07-31 | 2018-07-31 | 1,000 | 1,000 | Direct |
Common Stock | Stock Option (Right to Buy) | $15.22 | 2012-05-28 | 2019-05-28 | 2,678 | 2,678 | Direct |
Common Stock | Stock Option (Right to Buy) | $15.25 | 2013-05-20 | 2020-05-20 | 1,609 | 1,609 | Direct |
Common Stock | Stock Option (Right to Buy) | $18.65 | 2015-05-30 | 2022-05-30 | 3,127 | 3,127 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-05-29 | 576 | 576 | Direct |
2018-07-31 | 1,000 | 1,000 | Direct |
2019-05-28 | 2,678 | 2,678 | Direct |
2020-05-20 | 1,609 | 1,609 | Direct |
2022-05-30 | 3,127 | 3,127 | Direct |
Footnotes
- Includes 209 shares acquired under the Graham Corporation Employee Stock Purchase Plan.
- The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.015 to $18.214. Ms. Condame 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.
- Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Ms. Condame's account, as to which Ms. Condame has sole voting power but no dispositive power, except in limited circumstances.
- This option was previously reported by Ms. Condame.