0001104659-16-118850.txt : 20160506
0001104659-16-118850.hdr.sgml : 20160506
20160506181325
ACCESSION NUMBER: 0001104659-16-118850
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150622
FILED AS OF DATE: 20160506
DATE AS OF CHANGE: 20160506
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ARGAN INC
CENTRAL INDEX KEY: 0000100591
STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700]
IRS NUMBER: 131947195
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0131
BUSINESS ADDRESS:
STREET 1: ONE CHURCH STREET SUITE 201
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
BUSINESS PHONE: 301 315-0027
MAIL ADDRESS:
STREET 1: ONE CHURCH STREET SUITE 201
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
FORMER COMPANY:
FORMER CONFORMED NAME: PUROFLOW INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: ULTRA DYNAMICS CORP
DATE OF NAME CHANGE: 19830522
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Griffin William F Jr
CENTRAL INDEX KEY: 0001384123
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-31756
FILM NUMBER: 161629475
MAIL ADDRESS:
STREET 1: C/O GEMMA POWER SYSTEMS, LLC
STREET 2: 2461 MAIN STREET
CITY: GLASTONBURY
STATE: CT
ZIP: 06033
4
1
a4.xml
4
X0306
4
2015-06-22
0
0000100591
ARGAN INC
AGX
0001384123
Griffin William F Jr
C/O GEMMA POWER SYSTEMS,
LLC, 2461 MAIN STREET
GLASTONBURY
CT
06033
1
1
0
0
VC/CEO of Gemma Power Systems
Common Stock
158576
I
By William F. Griffin, Jr. GRAT DTD 03/29/14
Common Stock
347574
I
By William F. Griffin, Jr. Revocable Trust DTD 12/09/04
Stock Option to purchase Common Stock
18.87
2016-12-18
2022-12-18
Common Stock
10000
10000
D
As of the filing date, the Reporting Person owns a total of 506,150 shares of the Issuer's common stock, which includes 158,576 shares indirectly owned by the Reporting Person through William F. Griffin, Jr. GRAT DTD 03/29/14 (the "GRAT") and 347,574 shares indirectly owned through William F. Griffin, Jr. Revocable Trust DTD 12/09/04 (the "Revocable Trust"). This amount does not include the 98,843 shares of common stock, reported on the Form 5 filed by the Reporting Person on March 28, 2014 (the "2014 Form 5"), indirectly owned through Joel M. Canino Revocable Trust, because the Reporting Person ceased to be the trustee of such trust since June 22, 2015.
The GRAT previously owned 274,960 shares of the Issuer's common stock, while the Revocable Trust 231, 210 shares. With 116,384 transferred out from the GRAT to the Revocable Trust, the GRAT currently owns 158,576 shares of common stock, while the Revocable Trust 347,574 shares.
In the 2014 Form 5, the amount of shares owned by William F. Griffin Jr. GRAT U/A DTD 02/13/12, which was the trust replaced by the GRAT, was reported to be 374,960 shares, which was an inadvertent mistake and should have been 274,960 shares as reported under this Form 4. Accordingly, this resulted in a related mistake in the Issuer's Definitive Proxy Statement on Schedule 14A filed on May 2, 2014 which stated that the shares beneficially owned by the Reporting Person herein was 714,993 shares, which should have been 100,000 shares less.
/s/ William F. Griffin, Jr.
2016-05-06