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GRAHAM CORP — Director's Dealing 2016
May 26, 2016
32710_dirs_2016-05-26_fee884b8-4477-484c-b753-d899b412c7ee.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GRAHAM CORP (GHM)
CIK: 0000716314
Period of Report: 2016-05-24
Reporting Person: Smith Alan E (VP of Operations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-05-24 | Common Stock | A | 4234 | — | Acquired | 26820 | Direct |
| 2016-05-24 | Common Stock | A | 8468 | — | Acquired | 35288 | Direct |
| 2016-05-24 | Common Stock | D | 2940 | — | Disposed | 32348 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $30.875 | 2018-05-29 | Common Stock (1114) | 1114 | Direct |
| Stock Option (Right to Buy) | $15.22 | 2019-05-28 | Common Stock (3571) | 3571 | Direct |
| Stock Option (Right to Buy) | $15.25 | 2020-05-20 | Common Stock (3118) | 3118 | Direct |
| Stock Option (Right to Buy) | $18.65 | 2022-05-30 | Common Stock (6059) | 6059 | Direct |
Footnotes
F1: This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3.
F2: This performance-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria.
F3: Shares forfeited under the terms of Mr. Smith's 5/30/13 performance-vested restricted stock award.
F4: This option was previously reported by Mr. Smith.