0000891839-11-000096.txt : 20111107 0000891839-11-000096.hdr.sgml : 20111107 20111107165059 ACCESSION NUMBER: 0000891839-11-000096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111104 FILED AS OF DATE: 20111107 DATE AS OF CHANGE: 20111107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERKELEY HELEN H CENTRAL INDEX KEY: 0001061394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08462 FILM NUMBER: 111185230 MAIL ADDRESS: STREET 1: 50 OLD MILL RD CITY: ROCHESTER STATE: NY ZIP: 14618 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 X0304 4 2011-11-04 0000716314 GRAHAM CORP GHM 0001061394 BERKELEY HELEN H C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA NY 14020 1 0 0 0 Common Stock 2011-11-04 4 S 0 1 22.30 D 182111 D Common Stock 2011-11-04 4 S 0 4999 22.25 D 177112 D Stock Option (Right to Buy) 7.976 2010-06-01 2016-06-01 Common Stock 5000 5000 D Stock Option (Right to Buy) 6.90 2011-05-31 2017-05-31 Common Stock 5000 5000 D Stock Option (Right to Buy) 30.875 2018-05-29 Common Stock 924 924 D Share Equivalent Unit Common Stock 74.02 74.02 D Share Equivalent Unit Common Stock 54.68 54.68 D This option was previously reported by Ms. Berkeley. This option was previously reported by Ms. Berkeley and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/29/08 grant date. This share equivalent unit was granted under the Graham Corporation Outside Directors' Long Term Incentive Plan, as amended. Under the LTIP, SEUs are credited to each non-employee director's account for each of the first five fiscal years during such director's term in which Graham produces consolidated net income in an amount at least equal to the consolidated net income specified in the budget for each such fiscal year. Such determinations are made annually. Each SEU is valued at the market value of one share of common stock on the valuation date, which is the last day of trading of the first quarter following the end of a fiscal year for which SEUs are to be credited. The number of SEUs to be credited annually is determined by dividing the value of one SEU into $10,000. Outstanding SEUs accrue dividends quarterly in accordance with Graham's regular dividend policy and such dividends are reflected in each director's account after the end of each fiscal year. The number of SEUs reported represent dividends accrued under the LTIP. Upon termination of a non-employee director's service, but not before, the non-employee director may redeem each SEU for one share of common stock or, alternatively and subject to Graham's discretion, for the cash equivalent at the closing price of the stock on the NYSE Amex on the date of termination of service, subject to certain limitations. /s/ Carole M. Anderson, Attorney-in-fact for Helen H. Berkeley 2011-11-07