0000769993-13-000117.txt : 20130201 0000769993-13-000117.hdr.sgml : 20130201 20130201151143 ACCESSION NUMBER: 0000769993-13-000117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130130 FILED AS OF DATE: 20130201 DATE AS OF CHANGE: 20130201 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: 13566459 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 ownershipdoc01292013042032.xml X0306 4 2013-01-30-05:00 false 0000050725 GRIFFON CORP GFF 0001447258 Cardinale Gerald J. C/O GOLDMAN, SACHS & CO. 200 WEST STREET NEW YORK NY 10282 true false false false Common Stock 2013-01-30-05:00 4 A false 3333 0 A 10017087 I See footnotes The Reporting Person is a former 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 30, 2013, 3,333 shares of common stock, par value $0.25 per share (the "Common Stock"), of Griffon Corporation (the "Company") were granted to Bradley J. Gross, a managing director of Goldman Sachs, in his capacity as a director of the Company pursuant to the Company's 2011 Equity Incentive Plan (the "Plan"). The grant of 3,333 shares vests one third on each of the next three anniversaries of the grant date, which was January 30, 2013. GS Group may be deemed to beneficially own, in the aggregate, 17,087 shares of Common Stock, consisting of 5,000 shares of Common Stock granted to the Reporting Person pursuant to the Plan, 8,333 shares of Common Stock granted to Bradley J. Gross pursuant to the Plan and 1,877 shares of Common Stock granted to each of the Reporting Person and Bradley J. Gross pursuant to the Company's 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, L.L.C. ("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. /s/ Kevin P. Treanor, Attorney-in-fact 2013-02-01-05:00