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*
ALESIA PATRICK

(Last) (First) (Middle)
100 JERICHO QUADRANGLE
SUITE 224

(Street)
JERICHO NY 11753

(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President & Treasurer
3. Date of Earliest Transaction (Month/Day/Year)
11/09/2004
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, Par Value $.25 per share 11/09/2004 M 27,500 A $9.09 55,795 D
Common Stock, Par Value $.25 per share 11/09/2004 M 22,000 A $6.82 77,795 D
Common Stock, Par Value $.25 per share 11/09/2004 F 31,048 D $24.75 46,747 D
Common Stock, Par Value $.25 per share 11/09/2004 S 2,000 D $24.89 44,747 D
Common Stock, Par Value $.25 per share 11/09/2004 S 5,000 D $24.9 39,747 D
Common Stock, Par Value $.25 per share 11/09/2004 S 3,000 D $24.95 36,747 D
Common Stock, Par Value $.25 per share 11/10/2004 M 16,500 A $12.2727 53,247 D
Common Stock, Par Value $.25 per share 11/10/2004 F 11,869 D $24.9 41,378 D
Common Stock, Par Value $.25 per share 11/10/2004 S 4,500 D $24.6 36,878 D
Common Stock, Par Value $.25 per share 11/10/2004 S 5,500 D $24.65 31,378 D
Common Stock, Par Value $.25 per share 11/10/2004 S 2,000 D $24.55 29,378 D
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
1998 Employee & Director Stock Option Plan $9.0909 11/09/2004 M 27,500 02/04/2001 02/03/2009 Common Stock 27,500 $0 88,500 D
1998 Employee & Director Stock Option Plan $6.818 11/09/2004 M 22,000 11/10/2002 11/10/2010 Common Stock 22,000 $0 66,500 D
1997 Stock Option Plan $12.2727 11/10/2004 M 16,500 02/06/1999 02/05/2007 Common Stock 16,500 $0 0 D
Explanation of Responses:
Remarks:
Patrick Alesia 11/10/2004
** 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.
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