SEC Filing - Griffon Corporation

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Cocke Travis W.

(Last)

(First)

(Middle)

3773 RICHMOND AVENUE, SUITE 500

(Street)

HOUSTON

77046

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
GRIFFON CORP [ GFF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
See Remarks

3. Date of Earliest Transaction (Month/Day/Year)
01/20/2023

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $0.25 par value⁽¹⁾								276	D⁽²⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		25,800	A	$35	1,405,800	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		13,500	A	$25	1,419,300	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		5,700	A	$20.5	1,425,000	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		5,700	A	$28	1,430,700	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		19,900	A	$30	1,450,600	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		11,400	A	$23	1,462,000	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		5,700	A	$27	1,467,000	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		5,700	A	$26	1,473,400	I	By: Voss Value Master Fund, L.P.⁽³⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		3,700	A	$35	194,799	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		800	A	$26	195,599	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		800	A	$28	196,399	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		2,700	A	$30	199,099	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		800	A	$27	199,899	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		1,600	A	$23	201,499	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		800	A	$20.5	202,299	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		1,200	A	$25	203,499	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		900	A	$20.5	1,498,653	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		3,700	A	$35	1,502,353	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		3,200	A	$30	1,505,553	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		8,900	A	$25	1,514,453	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		900	A	$28	1,515,353	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		11,800	A	$35	1,527,153	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		9,200	A	$30	1,536,353	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		900	A	$27	1,537,253	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		1,800	A	$23	1,539,053	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		5,200	A	$23	1,544,253	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		2,600	A	$28	1,546,853	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		2,600	A	$26	1,549,453	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Common Stock, $0.25 par value⁽¹⁾	01/20/2023		X		900	A	$26	1,550,353	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Call Option (right to buy)	$35	01/20/2023		X			258	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	2,580	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$25	01/20/2023		X			135	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	13,500	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$28	01/20/2023		X			57	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	5,700	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$20.5	01/20/2023		X			57	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	5,700	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$30	01/20/2023		X			199	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	19,900	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$23	01/20/2023		X			114	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	11,400	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$26	01/20/2023		X			57	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	5,700	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$27	01/20/2023		X			57	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	5,700	$0	0	I	By: Voss Value Master Fund, L.P.⁽³⁾
Call Option (right to buy)	$35	01/20/2023		X			37	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	3,700	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$28	01/20/2023		X			8	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	800	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$26	01/20/2023		X			8	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	800	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$30	01/20/2023		X			27	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	2,700	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$27	01/20/2023		X			8	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	800	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$23	01/20/2023		X			16	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	1,600	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$20.5	01/20/2023		X			8	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	800	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$25	01/20/2023		X			12	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	1,200	$0	0	I	By: Voss Value-Oriented Special Situations Fund, L.P.⁽⁴⁾
Call Option (right to buy)	$20.5	01/20/2023		X			9	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	900	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$35	01/20/2023		X			37	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	3,700	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$30	01/20/2023		X			32	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	3,200	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$25	01/20/2023		X			89	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	8,900	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$28	01/20/2023		X			9	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	900	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$35	01/20/2023		X			118	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	11,800	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$30	01/20/2023		X			92	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	9,200	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$27	01/20/2023		X			9	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	900	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$23	01/20/2023		X			18	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	1,800	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$23	01/20/2023		X			52	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	5,200	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$28	01/20/2023		X			26	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	2,600	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$26	01/20/2023		X			26	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	2,600	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾
Call Option (right to buy)	$26	01/20/2023		X			9	⁽⁶⁾	01/20/2023	Common Stock, $0.25 par value⁽¹⁾	900	$0	0	I	By: Managed Accounts of Voss Capital, LLC⁽⁵⁾

1. Name and Address of Reporting Person^*

Cocke Travis W.

(Last)

(First)

(Middle)

3773 RICHMOND AVENUE, SUITE 500

(Street)

HOUSTON

77046

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Voss Value Master Fund, L.P.

(Last)

(First)

(Middle)

3773 RICHMOND AVENUE

SUITE 500

(Street)

HOUSTON

77046

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Voss Value-Oriented Special Situations Fund, LP

(Last)

(First)

(Middle)

3773 RICHMOND AVENUE

SUITE 500

(Street)

HOUSTON

77046

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Voss Advisors GP, LLC

(Last)

(First)

(Middle)

3773 RICHMOND AVENUE, SUITE 500

(Street)

HOUSTON

77046

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Voss Capital, LLC

(Last)

(First)

(Middle)

3773 RICHMOND AVENUE

SUITE 500

(Street)

HOUSTON

77046

(City)

(State)

(Zip)

Explanation of Responses:

1. This Form 4 is filed jointly by Voss Value Master Fund, L.P. ("Voss Value Master Fund"), Voss Value-Oriented Special Situations Fund, L.P. ("Voss Value-Oriented Special Situations Fund"), Voss Advisors GP, LLC ("Voss GP"), Voss Capital, LLC ("Voss Capital") and Travis W. Cocke (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Since the Securities and Exchange Commission's electronic filing system only accepts a maximum of 30 lines per Table, this report is the first in a series of two reports being filed with the Securities and Exchange Commission.

2. These securities were granted to Mr. Cocke, the managing member of Voss Capital and Voss GP, in connection with his service as a member of the Board of Directors of the Issuer. As a result of Mr. Cocke's agreement with Voss Capital to transfer the economic benefit, if any, received upon the sale of the securities reported herein as directly owned by Mr. Cocke to certain of the other Reporting Persons, each of the Reporting Persons may be deemed to have a pecuniary interest in such securities.

3. Securities owned directly by Voss Value Master Fund. Voss GP, as the general partner of Voss Value Master Fund, may be deemed to beneficially own the securities owned directly by Voss Value Master Fund. Voss Capital, as the investment manager of Voss Value Master Fund, may be deemed to beneficially own the securities owned directly by Voss Value Master Fund. Mr. Cocke, as the managing member of Voss Capital and Voss GP, may be deemed to beneficially own the securities owned directly by Voss Value Master Fund.

4. Securities owned directly by Voss Value-Oriented Special Situations Fund. Voss GP, as the general partner of Voss Value-Oriented Special Situations Fund, may be deemed to beneficially own the securities owned directly by Voss Value-Oriented Special Situations Fund. Voss Capital, as the investment manager of Voss Value-Oriented Special Situations Fund, may be deemed to beneficially own the securities owned directly by Voss Value-Oriented Special Situations Fund. Mr. Cocke, as the managing member of Voss Capital and Voss GP, may be deemed to beneficially own the securities owned directly by Voss Value-Oriented Special Situations Fund.

5. Securities held in certain accounts separately managed by Voss Capital (the "Voss Managed Accounts"). Voss Capital, as the investment manager of the Voss Managed Accounts, may be deemed to beneficially own the securities held in the Voss Managed Accounts. Mr. Cocke, as the managing member of Voss Capital, may be deemed to beneficially own the securities held in the Voss Managed Accounts.

6. Such options were immediately exercisable upon their acquisition.

Remarks:

Mr. Cocke is a director of the Issuer. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of the Reporting Persons (other than Mr. Cocke) may be deemed a director by deputization by virtue of Mr. Cocke's service on the Board of Directors of the Issuer.

	/s/ Travis W. Cocke	01/24/2023
	Voss Value Master Fund, L.P.; By: Voss Advisors GP, LLC; By: /s/ Travis W. Cocke	01/24/2023
	Voss Value-Oriented Special Situations Fund, L.P.; By: Voss Advisors GP, LLC; By: /s/ Travis W. Cocke	01/24/2023
	Voss Advisors GP, LLC; By: /s/ Travis W. Cocke	01/24/2023
	Voss Capital, LLC; By: /s/ Travis W. Cocke	01/24/2023
	** Signature of Reporting Person	Date
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