0000891839-21-000188.txt : 20210602 0000891839-21-000188.hdr.sgml : 20210602 20210602165602 ACCESSION NUMBER: 0000891839-21-000188 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210602 DATE AS OF CHANGE: 20210602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINES JAMES R CENTRAL INDEX KEY: 0001249710 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08462 FILM NUMBER: 21989921 MAIL ADDRESS: STREET 1: 11 HILLSIDE PARKWY CITY: LANCSTER STATE: NY ZIP: 14068 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-03-31 0000716314 GRAHAM CORP GHM 0001249710 LINES JAMES R C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA NY 14020 1 1 0 0 Chief Executive Officer Common Stock 2021-03-31 4 D 0 5813 0 D 159530 D Common Stock 2021-03-31 4 D 0 9804 0 D 149726 D Common Stock 2021-06-01 4 A 0 13063 0 A 162789 D Common Stock 2021-06-01 4 A 0 26126 0 A 188915 D Stock Option (Right to Buy) 18.65 2015-05-30 2022-05-30 Common Stock 10894 10894 D Shares forfeited under the terms of Mr. Lines' May 30, 2018 performance-vested restricted stock award. Shares forfeited under the terms of Mr. Lines' May 29, 2019 performance-vested restricted stock award. This time-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. This performance-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan 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. /s/ Jennifer R. Condame, Attorney-in-Fact for James R. Lines 2021-06-02