0000769993-12-000077.txt : 20120202
0000769993-12-000077.hdr.sgml : 20120202
20120202172128
ACCESSION NUMBER: 0000769993-12-000077
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: Cardinale Gerald J.
CENTRAL INDEX KEY: 0001447258
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-06620
FILM NUMBER: 12566864
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
gff420120131gjc_ex.xml
X0304
4
2012-01-31
0
0000050725
GRIFFON CORP
GFF
0001447258
Cardinale Gerald 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 Bradley
J. Gross, 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 Bradley J. Gross (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
Bradley J. Gross 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