0000769993-18-000400.txt : 20180621
0000769993-18-000400.hdr.sgml : 20180621
20180621192413
ACCESSION NUMBER: 0000769993-18-000400
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180619
FILED AS OF DATE: 20180621
DATE AS OF CHANGE: 20180621
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: 18912884
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
ownershipdoc06202018093112.xml
X0306
4
2018-06-19-04:00
true
0000050725
GRIFFON CORP
GFF
0001447253
Gross Bradley J.
C/O GOLDMAN SACHS & CO. LLC
200 WEST STREET
NEW YORK
NY
10282
true
false
false
false
Common Stock
2018-06-19-04:00
4
S
false
5583375
17.055
D
649296
I
See footnotes
The Reporting Person is a managing director of Goldman Sachs & Co. LLC ("Goldman Sachs"). Goldman Sachs is a 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. Effective June 19, 2018, the Reporting Person resigned from the board of directors of Griffon Corporation (the "Company").
Pursuant to an underwriting agreement, dated June 14, 2018 (the "Underwriting Agreement"), and in connection with the registered public offering of shares of common stock, par value $0.25 per share (the "Common Stock"), of the Company, pursuant to the final prospectus supplement dated June 14, 2018, which offering was consummated on June 19, 2018 (the "Registered Public Offering"), the underwriters purchased shares of Common Stock from the selling shareholder, GS Direct, L.L.C. ("GS Direct"). GS Direct sold an aggregate of 4,855,109 shares of Common Stock in the Registered Public Offering. Goldman Sachs was one of the underwriters in the Underwriting Agreement.
Pursuant to the Underwriting Agreement and in connection with the Registered Public Offering, the underwriters exercised their option (the "Over-Allotment Option") to purchase additional shares of Common Stock from the selling shareholder, GS Direct. On June 19, 2018, the Over-Allotment Option was consummated and in connection with such sale to the underwriters, GS Direct sold an additional 728,266 shares of Common Stock pursuant to the underwriters' exercise of the Over-Allotment Option.
Following the sale of shares by GS Direct, Goldman Sachs beneficially owns directly and GS Group may be deemed to beneficially own indirectly 649,296 shares of Common Stock and Goldman Sachs also had open short positions of 558,825 shares of Common Stock, reflecting changes due to exempt transactions.
/s/ Yvette Kosic, Attorney-in-fact
2018-06-21-04:00