UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): April 21, 2014
Graham Corporation
(Exact name of registrant as specified in its charter)
| Delaware | 1-8462 | 16-1194720 | ||
| (State or other jurisdiction | (Commission | (IRS Employer | ||
| of incorporation) | File Number) | Identification No.) |
| 20 Florence Avenue, Batavia, New York | 14020 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code (585) 343-2216
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Item 3.01 | Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. |
On April 21, 2014, Graham Corporation (the “Company”) provided written notice to the NYSE MKT LLC (the “NYSE MKT”) that the Company intends to voluntarily transfer the listing of its common stock, par value $.10 (the “Common Stock”), to the New York Stock Exchange (the “NYSE”). The Common Stock has been approved for listing on the NYSE. The Company expects the Common Stock to begin trading on the NYSE on May 2, 2014 under its current ticker symbol “GHM”. Until the transfer is completed, the Common Stock will continue to trade on the NYSE MKT.
A copy of the Company’s press release announcing the transfer of the listing of its Common Stock to the NYSE is attached to this Form 8-K as Exhibit 99.1.
| Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits.
| Exhibit No. |
Description | |
| 99.1 | Graham Corporation Press Release dated April 21, 2014 | |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Graham Corporation | ||||||
| Dated: April 21, 2014 | By: | /s/ Jeffrey F. Glajch | ||||
| Jeffrey F. Glajch | ||||||
| Vice President - Finance & Administration and | ||||||
| Chief Financial Officer | ||||||