SEC Form 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF 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
|Estimated average burden|
|hours per response:
1. Name and Address of Reporting Person*
|712 FIFTH AVENUE|
|C/O GRIFFON CORPORATION|
2. Date of Event Requiring Statement
3. Issuer Name and Ticker or Trading Symbol
[ GFF ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
||Officer (give title below)
||Other (specify below)
5. If Amendment, Date of Original Filed
6. Individual or Joint/Group Filing (Check Applicable Line)
||Form filed by One Reporting Person
||Form filed by More than One Reporting Person
|Table I - Non-Derivative Securities Beneficially Owned|
|1. Title of Security (Instr.
Amount of Securities Beneficially Owned (Instr.
||3. Ownership Form: Direct (D) or Indirect (I) (Instr.
||4. Nature of Indirect Beneficial Ownership (Instr.
Table II - Derivative Securities Beneficially Owned|
(e.g., puts, calls, warrants, options, convertible securities)
|1. Title of Derivative Security (Instr.
||2. Date Exercisable and Expiration Date
||3. Title and Amount of Securities Underlying Derivative Security (Instr.
||4. Conversion or Exercise Price of Derivative Security
||5. Ownership Form: Direct (D) or Indirect (I) (Instr.
||6. Nature of Indirect Beneficial Ownership (Instr.
||Amount or Number of Shares
|Explanation of Responses:|
|No securities are beneficially owned.|
||/s/ Seth L. Kaplan, pursuant to power-of-attorney
||** Signature of Reporting Person
|Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.|
|* If the form is filed by more than one reporting person,
|** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).|
|Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
Instruction 6 for procedure.|
|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 Number.|
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and
appoints each of Robert F. Mehmel, Brian G. Harris, and Seth L. Kaplan,
signing individually,the undersigned's true and lawful
(1) prepare and execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer and/or director of Griffon
Corporation (the 'Company'), (a) Forms 3, 4, and 5 in accordance
with Section 16(a) of the Securities Exchange Act of 1934 and the
rules thereunder, (b) Form 144 in accordance with Rule 144 of the
Securities Act of 1933, and (c) any other forms or reports the
undersigned may be required to file, each in connection with the
undersigned's ownership, acquisition, or disposition of securities of
the Company; and
(2) file (or cause to be filed) such forms or reports with the United States Securities and
Exchange Commission and any stock exchange or similar authority.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the
rights and powers herein granted, as fully to all intents and purposes
as the undersigned might or could
do if personally present, with full
power or substitution or revocation, hereby ratifying and confirming
all that such attorney-in-fact, or such attorney-in-fact's substitute
or substitutes, shall lawfully do or cause to be done by virtue of this
power of attorney and the rights and powers herein granted.
THIS POWER OF ATTORNEY shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect
to the undersigned's holdings of and transactions in securities issued by
the Company unless either revoked in writing by the undersigned or, as to
each attorney-in-fact, until such time as such attorney-in-fact ceases to
be an employee of Griffon Corporation or one of its affiliates.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 28 day of October 2019.
/s/ Lacy M. Johnson
Name: Lacy M. Johnson