-----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, ICCcQHyBTV8q3dB7eetIUCgIESYRRnpL+MwDCZQU12Ox7jF3q0aonxNoL5yMXjHn mtol9AUX6cS2s4Fwg5yXpg== 0000891839-10-000056.txt : 20100524 0000891839-10-000056.hdr.sgml : 20100524 20100524201643 ACCESSION NUMBER: 0000891839-10-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100520 FILED AS OF DATE: 20100524 DATE AS OF CHANGE: 20100524 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: 10855405 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 edgar.xml PRIMARY DOCUMENT X0303 4 2010-05-20 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 2010-05-20 4 A 0 3471 0 A 6538 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 2019-05-28 Common Stock 3571 3571 D Stock Option (Right to Buy) 15.25 2010-05-20 4 A 0 3118 0 A 2020-05-20 Common Stock 3118 3118 D This performance-based 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. 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. 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. This option was previously reported by Mr. Smith and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/28/09 grant date. 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 33 1/3% per year over three years beginning on the first anniversay of the grant date. /s/ Carole M. Anderson, Attorney-in-fact for Alan E. Smith 2010-05-24 -----END PRIVACY-ENHANCED MESSAGE-----