0000891839-17-000086.txt : 20170602 0000891839-17-000086.hdr.sgml : 20170602 20170602162002 ACCESSION NUMBER: 0000891839-17-000086 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170531 FILED AS OF DATE: 20170602 DATE AS OF CHANGE: 20170602 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 20 FLORENCE AVE CITY: BATAVIA STATE: NY ZIP: 14020 BUSINESS PHONE: 5853432216 MAIL ADDRESS: STREET 1: 20 FLORENCE AVENUE CITY: BATAVIA STATE: NY ZIP: 14020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Alan E CENTRAL INDEX KEY: 0001408288 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08462 FILM NUMBER: 17888236 MAIL ADDRESS: STREET 1: GRAHAM CORPORATION STREET 2: 20 FLORENCE AVENUE CITY: BATAVIA STATE: NY ZIP: 14020 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-05-31 0000716314 GRAHAM CORP GHM 0001408288 Smith Alan E C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA NY 14020 0 1 0 0 VP & General Manager - Batavia Common Stock 2017-05-31 4 A 0 2879 0 A 33230 D Common Stock 2017-05-31 4 A 0 5758 0 A 38988 D Common Stock 2017-05-31 4 D 0 2616 0 D 36372 D Common Stock 2017-05-31 4 D 0 3290 0 D 33082 D Stock Option (Right to Buy) 30.875 2012-05-29 2018-05-29 Common Stock 1114 1114 D Stock Option (Right to Buy) 15.22 2012-05-28 2019-05-28 Common Stock 3571 3571 D Stock Option (Right to Buy) 15.25 2013-05-20 2020-05-20 Common Stock 3118 3118 D Stock Option (Right to Buy) 18.65 2015-05-30 2022-05-30 Common Stock 6059 6059 D This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3. This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria. Shares forfeited under the terms of Mr. Smith's 5/29/14 performance-vested restricted stock award. Shares forfeited under the terms of Mr. Smith's 5/28/15 performance-vested restricted stock award. This option was previously reported by Mr. Smith. /s/ Alan E. Smith 2017-06-01