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