0001062993-23-012767.txt : 20230602 0001062993-23-012767.hdr.sgml : 20230602 20230602163428 ACCESSION NUMBER: 0001062993-23-012767 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230517 FILED AS OF DATE: 20230602 DATE AS OF CHANGE: 20230602 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: 23989449 MAIL ADDRESS: STREET 1: GRAHAM CORPORATION STREET 2: 20 FLORENCE AVENUE CITY: BATAVIA STATE: NY ZIP: 14020 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-05-17 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 0 Common Stock 2023-05-17 4 D 0 9126 0 D 50663 D Common Stock 2023-06-01 4 F 0 507 11.04 D 50156 D Restricted Stock Units 0 Common Stock 6106 6106 D Restricted Stock Units 0 Common Stock 7123 7123 D Restricted Stock Units 0 Common Stock 18315 18315 D Shares forfeited under the terms of Mr. Smith's June 9, 2020 performance-vested restricted stock award. Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. These restricted stock units convert into common stock on a one-for-one basis. One-third of the original grant of these restricted stock units vested on 5/23/2023, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 5/23/2024 and 5/23/2025. One-third of these restricted stock units will vest on each of 5/17/2024, 5/17/2025 and 5/17/2026, except as otherwise provided in the award notice. These restricted stock units will vest on 5/23/2025, the third anniversary of the grant date, except as otherwise provided in the award notice. /s/ Christina McLeod, Attorney-in-Fact for Alan E. Smith 2023-06-02