-----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, HeC6lcw89zohMOtJaWw6f+kA0tNqdwaFuW8bHkoz1L7ayFHqUdd32cte9jqnOQ7s e+ew32guQjI6TbDtKUet8w== 0000891839-09-000038.txt : 20090601 0000891839-09-000038.hdr.sgml : 20090601 20090601183617 ACCESSION NUMBER: 0000891839-09-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090528 FILED AS OF DATE: 20090601 DATE AS OF CHANGE: 20090601 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: 09866336 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 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 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-05-28 0000716314 GRAHAM CORP GHM 0001408288 Smith Alan E C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA NY 14020 0 1 0 0 VP of Operations Common Stock 2009-05-28 4 A 0 1925 0 A 3067 D Stock Option (Right to Buy) 10.84 2017-07-26 Common Stock 3750 3750 D Stock Option (Right to Buy) 30.875 2018-05-29 Common Stock 1114 1114 D Stock Option (Right to Buy) 15.22 2009-05-28 4 A 0 3571 0 A 2018-05-29 Common Stock 3571 3571 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. This option was previously reported by Mr. Smith and is exercisable pro rata on the first, second, third and fourth anniversaries of the 7/26/07 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. Smith 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/ Carole M. Anderson, Attorney-in-fact for Alan E. Smith 2009-06-01 -----END PRIVACY-ENHANCED MESSAGE-----