-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K/Ig3aE/V5+0/IYVWhoaWs5flNfNJ0BtukR7sxpuyp94iBgGRJbH0tnAk/IW/YWV a8A0tJ5U6E7Wv3trXcWfxg== 0000716314-02-000013.txt : 20020806 0000716314-02-000013.hdr.sgml : 20020806 20020806163230 ACCESSION NUMBER: 0000716314-02-000013 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020630 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GRAHAM CORP CENTRAL INDEX KEY: 0000716314 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT [3560] IRS NUMBER: 161194720 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-08462 FILM NUMBER: 02720809 BUSINESS ADDRESS: STREET 1: 20 FLORENCE AVE STREET 2: POST OFFICE BOX 719 CITY: BATAVIA STATE: NY ZIP: 14020 BUSINESS PHONE: 7163432216 MAIL ADDRESS: STREET 1: 20 FLORENCE AVENUE STREET 2: POST OFFICE BOX 719 CITY: BATAVIA STATE: NY ZIP: 14021-0719 8-K 1 fm8k103.txt FORM 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) August 6, 2002 GRAHAM CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 1-8462 16-1194720 (State or Other Jurisdiction(Commission File Number)(IRS Employer of Incorporation) Identification No.) 20 Florence Avenue Batavia, NY 14020 (Address of Principal Executive Offices including zip code) (585) 343-2216 (Registrant's telephone number including area code) 2 ITEM 7 Financial Statements, Pro Forma Financial Information and Exhibits (c) Exhibits. Exhibit 99.1 Transmittal Letter Exhibit 99.2 Certificate of Chief Executive Officer Exhibit 99.3 Certificate of Chief Financial Officer ITEM 9. Regulation FD Disclosure Graham Corporation filed as correspondence, accompanying its Quarterly Report on Form 10-Q for its fiscal quarter ended June 30, 2002 filed with the Securities and Exchange Commission on August 6, 2002, the transmittal letter and certificates attached hereto as Exhibits 99.1, 99.2 and 99.3. 3 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Graham Corporation Date: August 6, 2002 By:/s/ William A. Smith, Jr. ------------------------- William A. Smith, Jr., Vice President and General Counsel 4 Exhibit Index Exhibit No. Description - -------------- -------------- 99.1 Transmittal Letter 99.2 Certificate of Chief Executive Officer 99.3 Certificate of Chief Financial Officer EX-9 3 exh8k99-1.txt EXHIBIT 9.1 Exibit 99.1 August 6, 2002 Via EDGAR Securities and Exchange Commission Judiciary Plaza 450 Fifth Street, N.W. Washington D.C. RE: Graham Corporation For the Quarterly Period ending June 30, 2002 Ladies and Gentlemen: Transmitted herewith are written statements pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 to accompany the above-captioned periodic report. Very truly yours, Graham Corporation By: /s/ William A. Smith, Jr. ---------------------------------- William A. Smith, Jr. Vice President and General Counsel EX-9 4 exh8k99-2.txt EXHIBIT 9.2 Exhibit 99.2 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Quarterly Report of Graham Corporation (the "Company") on Form 10-Q for the period ending June 30, 2002 as filed with the Securities and Exchange Commission on the date hereof (the "Report"), I, Alvaro Cadena, Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. 1350, as adopted pursuant to 906 of the Sarbanes-Oxley Act of 2002, that: (1) The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ Alvaro Cadena - ------------------------------- Alvaro Cadena Chief Executive Officer August 6, 2002 EX-9 5 exh8k99-3.txt EXHIBIT 9.3 Exhibit 99.3 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Quarterly Report of Graham Corporation (the "Company") on Form 10-Q for the period ending June 30, 2002 as filed with the Securities and Exchange Commission on the date hereof (the "Report"), I, J. Ronald Hansen, Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C. 1350, as adopted pursuant to 906 of the Sarbanes-Oxley Act of 2002, that: (1) The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ J. Ronald Hansen - ----------------------------- J. Ronald Hansen Chief Financial Officer August 6, 2002 -----END PRIVACY-ENHANCED MESSAGE-----