-----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, ArdtixcO8w8WtEhdnUJl71iuooS+BCTrjasSWHj+3A+KHIFlJz0zIWOWF0d7Juf5 xt4osy9XESP83QS4t2pfpQ== 0000891839-09-000037.txt : 20090601 0000891839-09-000037.hdr.sgml : 20090601 20090601182302 ACCESSION NUMBER: 0000891839-09-000037 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090528 FILED AS OF DATE: 20090601 DATE AS OF CHANGE: 20090601 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 STREET 2: POST OFFICE BOX 719 CITY: BATAVIA STATE: NY ZIP: 14020 BUSINESS PHONE: 5853432216 MAIL ADDRESS: STREET 1: 20 FLORENCE AVENUE STREET 2: POST OFFICE BOX 719 CITY: BATAVIA STATE: NY ZIP: 14021-0719 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: 09866302 MAIL ADDRESS: STREET 1: 11 HILLSIDE PARKWY CITY: LANCSTER STATE: NY ZIP: 14068 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-05-28 0000716314 GRAHAM CORP GHM 0001249710 LINES JAMES R C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA NY 14020 1 1 0 0 President and CEO Common Stock 2009-05-28 4 A 0 3193 0 A 13597 D Common Stock 5570 I See footnote Stock Option (Right to Buy) 7.976 2016-06-01 Common Stock 7500 7500 D Stock Option (Right to Buy) 6.84 2016-07-27 Common Stock 3750 3750 D Stock Option (Right to Buy) 6.90 2017-05-31 Common Stock 9894 9894 D Stock Option (Right to Buy) 30.875 2018-05-29 Common Stock 2532 2532 D Stock Option (Right to Buy) 15.22 2009-05-28 4 A 0 5922 0 A 2019-05-28 Common Stock 5922 5922 D This 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 vests 33 1/3% per year beginning on the first anniversary of the grant date. Adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Mr. Lines's account, as to which Mr. Lines has sole voting power but no dispositive power, except in limited circumstances. This option was previously reported by Mr. Lines and is exercisable pro rata on the first, second, third and fourth anniversaries of the 6/01/06 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. This option was previously reported by Mr. Lines and is exercisable pro rata on the first, second, third and fourth anniversaries of the 7/27/06 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. This option was previously reported by Mr. Lines and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/31/07 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. This option was previously reported by Mr. Lines and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/29/08 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. This option 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 exercisable pro rata on the first, second, third and fourth anniversaries of the grant date. /s/ James R. Lines 2009-06-01 -----END PRIVACY-ENHANCED MESSAGE-----