Filing Details
- Accession Number:
- 0000891839-11-000039
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-01 16:58:31
- Reporting Period:
- 2011-03-04
- Filing Date:
- 2011-04-01
- Accepted Time:
- 2011-04-01 16:58:31
- 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 | Disposition | 2011-03-04 | 325 | $20.85 | 6,538 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | 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) | $10.84 | 2017-07-26 | 3,750 | 3,750 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $30.88 | 2018-05-29 | 1,114 | 1,114 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $15.22 | 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 |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-07-26 | 3,750 | 3,750 | Direct |
| 2018-05-29 | 1,114 | 1,114 | Direct |
| 2019-05-28 | 3,571 | 3,571 | Direct |
| 2020-05-20 | 3,118 | 3,118 | Direct |
Footnotes
- These shares were acquired under the Graham Corporation Employee Stock Purchase Plan.
- This option was previously reported by Mr. Smith and is exercisable pro rata on the first, second, third and fourth anniversaries of the 7/26/07 grant date.
- This option was previously reported by Mr. Smith and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/29/08 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 5/28/09 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 anniversay of the 5/20/10 grant date.
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