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
  1. Includes 209 shares acquired under the Graham Corporation Employee Stock Purchase Plan.
  2. 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.
  3. 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.
  4. This option was previously reported by Ms. Condame.