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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $ 7.976 (3) | (3) | 06/01/2016 | Common Stock | 2,500 (3) | 2,500 (3) | D | ||||||||
| Stock Option (Right to Buy) | $ 6.9 (4) | (4) | 05/31/2017 | Common Stock | 3,750 (4) | 3,750 (4) | D | ||||||||
| Stock Option (Right to Buy) | $ 30.875 (5) | (5) | 05/29/2018 | Common Stock | 924 (5) | 924 (5) | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| MALVASO JAMES J C/O GRAHAM CORPORATION 20 FLORENCE AVENUE BATAVIA, NY 14020 |
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| /s/ Carole M. Anderson, Attorney-in-fact for James J. Malvaso | 06/01/2009 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | This 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 vests on the first anniversary of the grant date. |
| (2) | Adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. |
| (3) | This option was previously reported by Mr. Malvaso and is exercisable pro rata on the first, second, third and fourth anniversaries of the 6/01/06 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. |
| (4) | This option was previously reported by Mr. Malvaso and is exercisable pro rata on the first, second, third and fourth anniversaries of the 5/31/07 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. |
| (5) | This option was previously reported by Mr. Malvaso and is exercisable pro rata on the first, second, third and fourth anniversaries of the 05/29/08 grant date. The number of shares subject to this option and the exercise price have been adjusted to reflect a 2-for-1 stock split in the nature of a stock dividend paid on 10/6/08. |