0000891839-19-000105.txt : 20190531 0000891839-19-000105.hdr.sgml : 20190531 20190531163257 ACCESSION NUMBER: 0000891839-19-000105 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190524 FILED AS OF DATE: 20190531 DATE AS OF CHANGE: 20190531 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: 19870905 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 X0306 4 2019-05-24 0000716314 GRAHAM CORP GHM 0001408288 Smith Alan E C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA NY 14020 0 1 0 0 VP & General Manager - Batavia Common Stock 2019-05-24 4 F 0 706 20.97 D 38369 D Common Stock 2019-05-29 4 D 0 6669 0 D 31700 D Common Stock 2019-05-29 4 A 0 3156 0 A 34856 D Common Stock 2019-05-29 4 A 0 6312 0 A 41168 D Common Stock 2019-05-29 4 F 0 900 20.40 D 40268 D Common Stock 2019-05-30 4 F 0 398 20.42 D 39870 D Stock Option (Right to Buy) 18.65 2015-05-30 2022-05-30 Common Stock 6059 6059 D Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Shares forfeited under the terms of Mr. Smith's May 24, 2016 performance-vested restricted stock award. 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. 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. /s/ Jennifer R. Condame, Attorney-in-fact for Alan E. Smith 2019-05-31