UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1998 E&D Stock Option Plan (Right to Buy) | Â (2) | 11/09/2010 | Common Stock | 22,000 | $ 6.8181 | D | Â |
1998 E&D Stock Option Plan (Right to Buy) | Â (2) | 02/05/2012 | Common Stock | 20,000 | $ 15.29 | D | Â |
1998 E&D Stock Option Plan (Right to Buy) | Â (2) | 02/04/2013 | Common Stock | 20,000 | $ 13.34 | D | Â |
1998 E&D Stock Option Plan (Right to Buy) | Â (2) | 02/04/2014 | Common Stock | 20,000 | $ 22.2 | D | Â |
2001 E&D Stock Option Plan (Right to Buy) | Â (3) | 05/02/2015 | Common Stock | 18,000 | $ 18.55 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH FRANKLIN H JR 100 JERICHO QUADRANGLE SUITE 224 JERICHO, NY 11753 |
 |  |  Executive Vice President |  |
/s/ Franklin H. Smith, Jr. | 12/07/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes 50,000 shares of restricted stock granted under the Griffon Corporation (the "Company") 2006 Equity Incentive Plan. The restricted stock vests in equal installments on each of August 2, 2007, August 2, 2008, August 2, 2009, August 2, 2010 and August 2, 2011. Also includes 297 shares of common stock allocated to the Reporting Person's account under the Company's ESOP. |
(2) | Option is currently fully exercisable. |
(3) | Option is currently exercisable as to 15,000 shares of common stock; the remaining 3,000 shares of common stock will become exercisable on May 3, 2008. |