0000769993-12-000076.txt : 20120202 0000769993-12-000076.hdr.sgml : 20120202 20120202172006 ACCESSION NUMBER: 0000769993-12-000076 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120131 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gross Bradley J. CENTRAL INDEX KEY: 0001447253 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06620 FILM NUMBER: 12566835 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GRIFFON CORP CENTRAL INDEX KEY: 0000050725 STANDARD INDUSTRIAL CLASSIFICATION: METAL DOORS, SASH, FRAMES, MOLDING & TRIM [3442] IRS NUMBER: 111893410 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2129575000 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: INSTRUMENT SYSTEMS CORP /DE/ DATE OF NAME CHANGE: 19920703 4 1 gff420120131bjg_ex.xml X0304 4 2012-01-31 0 0000050725 GRIFFON CORP GFF 0001447253 Gross Bradley J. C/O GOLDMAN, SACHS & CO. 200 WEST STREET NEW YORK, NY 10282 1 0 0 0 Common Stock 2012-01-31 4 A 0 5000 0 A 10013754 I See footnotes The Reporting Person is a managing director of Goldman, Sachs & Co. ("Goldman Sachs"). Goldman Sachs is a wholly-owned subsidiary of The Goldman Sachs Group, Inc. ("GS Group"). The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. On January 31, 2012, in the aggregate, 5,000 shares of common stock, par value $0.25 per share (the "Common Stock") of Griffon Corporation (the "Company") were granted as 2,500 shares of Common Stock to each of the Reporting Person and Gerald J. Cardinale, a managing director of Goldman Sachs, in their capacity as directors of the Company pursuant to the Company's 2011 Equity Incentive Plan (the "Plan"). Each grant of 2,500 shares vests one third on each of the next three anniversaries of the grant date, which was January 31, 2012. GS Group may be deemed to beneficially own, in the aggregate, 13,754 shares of Common Stock, consisting of 5,000 shares of common stock granted to each of the Reporting Person and Gerald J. Cardinale (each a "Director") pursuant to the Plan and 1,877 shares of Common Stock granted to each Director pursuant to the Outside Director Stock Award Plan. The Reporting Person and Gerald J. Cardinale each has an understanding with GS Group pursuant to which he holds such securities for the benefit of GS Group. GS Group and Goldman Sachs may be deemed to beneficially own indirectly, in the aggregate, 10,000,000 shares of the Company's Common Stock, beneficially owned directly by GS Direct. Goldman Sachs and GS Direct are wholly-owned subsidiaries of GS Group. Goldman Sachs is the manager of GS Direct. GS Group, Goldman Sachs and GS Direct each disclaim beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein, if any. Goldman Sachs has net open short positions of 310,572 shares of Common Stock. The decrease in Goldman Sachs' net open short position is the result of a change of its information barriers as a result of an internal reorganization. /s/ Yvette Kosic, Attorney-in-fact 2012-02-02