Filing Details
- Accession Number:
- 0000891839-18-000069
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-05 16:29:35
- Reporting Period:
- 2018-06-04
- Accepted Time:
- 2018-06-05 16:29:35
- 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 & General Manager - Batavia | 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 | 2018-06-04 | 3,571 | $15.22 | 42,646 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-06-04 | 3,118 | $15.25 | 45,764 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-06-04 | 6,689 | $25.94 | 39,075 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | 2018-06-04 | 3,571 | $0.00 | 3,571 | $15.22 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-06-04 | 3,118 | $0.00 | 3,118 | $15.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-05-28 | 2019-05-28 | No | 4 | M | Direct |
| 0 | 2013-05-20 | 2020-05-20 | 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) | $18.65 | 2015-05-30 | 2022-05-30 | 6,059 | 6,059 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-05-30 | 6,059 | 6,059 | Direct |
Footnotes
- The 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.
- This option was previously reported by Mr. Smith.
Billionaire Hedge Funds
