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
|
OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
|
|
|
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*
712 FIFTH AVENUE, 18TH FLOOR |
|
(Street)
|
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 |
X |
Officer (give title below) |
|
Other (specify below) |
CEO & Pres. |
|
3. Date of Earliest Transaction
(Month/Day/Year) 12/17/2009
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
|
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)
|
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/17/2009 |
|
P |
|
19,000 |
A |
$11.66
|
2,099,625 |
D |
|
Common Stock |
12/18/2009 |
|
P |
|
3,200 |
A |
$11.47
|
2,102,825 |
D |
|
Common Stock |
|
|
|
|
|
|
|
40,298 |
I |
By Spouse and Children |
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)
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of Responses: |
Remarks: |
|
/s/ Patrick L. Alesia, attorney-in-fact |
12/21/2009 |
|
** Signature of Reporting Person |
Date |
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,
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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
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. |
Unassociated Document
EXHIBIT
24
POWER
OF ATTORNEY
Know all
by these presents, that the undersigned hereby constitutes and appoints Patrick
L. Alesia as the undersigned’s true and lawful attorney-in-fact for, and in the
name, place and stead of, the undersigned:
|
(1)
|
to
execute on behalf of the undersigned and cause to be filed electronically
any forms, including without limitation, Securities and Exchange
Commission Forms 3, 4 and 5 (together with any amendments as may be
required thereto) required to be filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 (the “Act”) and the regulations thereunder
relating to Griffon Corporation;
and
|
|
(2)
|
generally
to take such other actions and perform such other things necessary to
effectuate the foregoing as fully in all respects as if the undersigned
could do if personally
present.
|
This
Power of Attorney shall remain in effect until revoked, in writing, by the
undersigned.
The
undersigned acknowledges that the foregoing attorney-in-fact, in serving in such
capacity at the request of the undersigned, is not assuming any of the
undersigned’s responsibilities to comply with Section 16 of the
Act.
IN
WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed this 24th day of November, 2009.
|
/s/ Ronald J. Kramer
|
|
Ronald
J. Kramer
|