0000891839-16-000220.txt : 20160526 0000891839-16-000220.hdr.sgml : 20160526 20160526182839 ACCESSION NUMBER: 0000891839-16-000220 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160524 FILED AS OF DATE: 20160526 DATE AS OF CHANGE: 20160526 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: 161679593 MAIL ADDRESS: STREET 1: 11 HILLSIDE PARKWY CITY: LANCSTER STATE: NY ZIP: 14068 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-05-24 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 2016-05-24 4 A 0 10581 0 A 79208 D Common Stock 2016-05-24 4 A 0 21162 0 A 100370 D Common Stock 2016-05-24 4 D 0 5668 0 D 94702 D Common Stock 5570 I See footnote Stock Option (Right to Buy) 30.875 2012-05-29 2018-05-29 Common Stock 2532 2532 D Stock Option (Right to Buy) 15.22 2012-05-28 2019-05-28 Common Stock 1974 1974 D Stock Option (Right to Buy) 15.25 2013-05-20 2020-05-20 Common Stock 3092 3092 D Stock Option (Right to Buy) 18.65 2015-05-30 2022-05-30 Common Stock 10894 10894 D This time-vested 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. Includes 1,243 shares acquired under the Graham Corporation Employee Stock Purchase Plan. This performance-vested 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. The number of shares reported assumes maximum achievement of the performance criteria. Shares forfeited under the terms of Mr. Lines's 5/30/13 performance-vested restricted stock award. 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. /s/ James R. Lines 2016-05-26