0000891839-11-000104.txt : 20111214 0000891839-11-000104.hdr.sgml : 20111214 20111214085842 ACCESSION NUMBER: 0000891839-11-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111212 FILED AS OF DATE: 20111214 DATE AS OF CHANGE: 20111214 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 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: 111259878 MAIL ADDRESS: STREET 1: 11 HILLSIDE PARKWY CITY: LANCSTER STATE: NY ZIP: 14068 4 1 edgar.xml PRIMARY DOCUMENT X0304 4 2011-12-12 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 2011-12-12 4 M 0 7500 7.976 A 41426 D Common Stock 2011-12-12 4 M 0 3750 6.84 A 45176 D Common Stock 2011-12-12 4 M 0 9894 6.90 A 55070 D Common Stock 2011-12-12 4 M 0 3948 15.22 A 59018 D Common Stock 2011-12-12 4 M 0 1546 15.25 A 60564 D Common Stock 2011-12-12 4 S 0 638 22.92 D 59926 D Common Stock 2011-12-12 4 S 0 2700 22.89 D 57226 D Common Stock 2011-12-12 4 S 0 4300 22.88 D 52926 D Common Stock 2011-12-12 4 S 0 2300 22.87 D 50626 D Common Stock 2011-12-12 4 S 0 6500 22.86 D 44126 D Common Stock 2011-12-12 4 S 0 10200 22.85 D 33926 D Common Stock 5570 I See footnote Stock Option (Right to Buy) 7.976 2011-12-12 4 M 0 7500 0 D 2010-06-01 2016-06-01 Common Stock 7500 0 D Stock Option (Right to Buy) 6.84 2011-12-12 4 M 0 3750 0 D 2010-07-27 2016-07-27 Common Stock 3750 0 D Stock Option (Right to Buy) 6.90 2011-12-12 4 M 0 9894 0 D 2011-05-31 2017-05-31 Common Stock 9894 0 D Stock Option (Right to Buy) 30.875 2018-05-29 Common Stock 2532 2532 D Stock Option (Right to Buy) 15.22 2011-12-12 4 M 0 3948 0 D 2019-05-28 Common Stock 3948 1974 D Stock Option (Right to Buy) 15.25 2011-12-12 4 M 0 1546 0 D 2020-05-20 Common Stock 1546 3092 D Mr. Lines previously reported his 5/26/2011 performance-vested restricted stock award assuming target achievement of the performance criteria (2,612 shares). The award provides if maximum achievement is realized, the number of shares would double. The number of shares reported by Mr. Lines as beneficially owned has been adjusted to assume maximum achievement of the performance criteria. Includes an addtional 1,250 shares acquired under the Graham Corporation Employee Stock Purchase Plan. 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. 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. This option was previously reported by Mr. Lines 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 previously reported by Mr. Lines and is exercisable 33 1/3% per year over three years beginning on the first anniversary of the 5/20/10 grant date. /s/James R. Lines 2011-12-14