SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Griffon Corp – ‘10-K/A’ for 9/30/96

As of:  Tuesday, 12/10/96   ·   For:  9/30/96   ·   Accession #:  50725-96-12   ·   File #:  1-06620

Previous ‘10-K’:  ‘10-K’ on 12/3/96 for 9/30/96   ·   Next:  ‘10-K’ on 12/11/98 for 9/30/98   ·   Latest:  ‘10-K’ on 11/16/23 for 9/30/23

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of                Filer                Filing    For·On·As Docs:Size

12/10/96  Griffon Corp                      10-K/A      9/30/96    9:19K

Amendment to Annual Report   —   Form 10-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K/A      Amendment to Annual Report                             6     26K 
 2: EX-27.1     Financial Data Schedule (Pre-XBRL)                     1      9K 
 3: EX-27.2     Financial Data Schedule (Pre-XBRL)                     1      9K 
 4: EX-27.3     Financial Data Schedule (Pre-XBRL)                     1      9K 
 5: EX-27.4     Financial Data Schedule (Pre-XBRL)                     1      9K 
 6: EX-27.5     Financial Data Schedule (Pre-XBRL)                     1      9K 
 7: EX-27.6     Financial Data Schedule (Pre-XBRL)                     1      9K 
 8: EX-27.7     Financial Data Schedule (Pre-XBRL)                     1      9K 
 9: EX-27.8     Financial Data Schedule (Pre-XBRL)                     1      9K 


10-K/A   —   Amendment to Annual Report
Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
3Item Fourteen. Exhibits, Financial Statement Schedules and Reports on Form 8-K
10-K/A1st Page of 6TOCTopPreviousNextBottomJust 1st
 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A AMENDMENT NO. 1 [ X ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 1996 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 1-6620 GRIFFON CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 11-1893410 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 100 JERICHO QUADRANGLE, JERICHO, NEW YORK 11753 (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code: (516) 938-5544 Securities registered pursuant to Section 12(b) of the Act: NAME OF EACH EXCHANGE ON TITLE OF CLASS WHICH REGISTERED -------------- ---------------- COMMON STOCK, $.25 PAR VALUE NEW YORK STOCK EXCHANGE SECOND PREFERRED STOCK, SERIES I $.25 PAR VALUE NEW YORK STOCK EXCHANGE PREFERRED SHARE PURCHASE RIGHTS NEW YORK STOCK EXCHANGE Securities registered pursuant to Section 12(g) of the Act: NONE Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No --- --- Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K [ ]. State the aggregate market value of the voting stock held by non-affiliates of the registrant. (The aggregate market value shall be computed by reference
10-K/A2nd Page of 6TOC1stPreviousNextBottomJust 2nd
to the price at which the stock was sold, or the average bid and asked prices of such stock, as of a specified date within 60 days prior to the date of filing.) As of November 15, 1996 -- approximately $306,000,000. Indicate the number of shares outstanding of each of the registrant's classes of common stock, as of the latest practicable date (applicable only to corporate registrants). As of November 15, 1996 -- 28,918,948. Documents incorporated by reference: Part III - Registrant's definitive proxy statement to be filed pursuant to Regulation 14A of the Securities Exchange Act of 1934.
10-K/A3rd Page of 6TOC1stPreviousNextBottomJust 3rd
AMENDMENT NO. 1 The undersigned registrant hereby amends Item 14 -- "Exhibits, Financial Statement Schedules and Reports on Form 8-K" as set forth in the pages attached hereto. PART IV ITEM FOURTEEN - EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K (c) Exhibits: Exhibit No. 3.1 Restated Certificate of Incorporation (Exhibit 3.1 of Annual Report on Form 10-K for the year ended September 30, 1995) 3.2 By-laws as amended (Exhibit 3 of Current Report on Form 8-K dated November 8, 1994) 4.1 Rights Agreement dated as of May 9, 1996 between Registrant and American Stock Transfer Company (Exhibit 1.1 of Current Report on Form 8-K dated May 9, 1996) 4.2 Loan Agreement dated June 8, 1995 between the Registrant and lending institutions (Exhibit 4.2 of Annual Report on Form 10-K for the year ended September 30, 1995) 10.1 Employment Agreement dated March 1, 1983 between the Registrant and Robert Balemian, as amended (Exhibit 10 of Current Report on Form 8-K dated March 1, 1983, Exhibit 10 of Current Report on Form 8-K dated March 2, 1983, Exhibit 10(a) of Current Report on Form 8-K dated March 15, 1984, Exhibit 10 of Current Report on Form 8-K dated May 4, 1987, Exhibit 10(a) of Current Report on Form 8-K dated February 13, 1989, Exhibit 10 of Current Report on Form 8-K dated February 28, 1990, Exhibit 10 of Current Report on Form 8-K dated February 25, 1991 and Exhibit 10 of Current Report on Form 8-K dated May 28, 1991) 10.2 Employment Agreement dated March 1, 1983 between the Registrant and Harvey R. Blau, as amended (Exhibit 10 of Current Report on Form 8-K dated March 1, 1983, Exhibit 10 of Current Report on Form 8-K dated March 2, 1983, Exhibit 10(b) of Current Report on Form 8-K dated March 15, 1984, Exhibit 10 of Current Report on Form 8-K dated May 4, 1987, Exhibit 10(a) of Current Report on Form 8-K dated February 13, 1989, and Exhibit 10 of Current Report on Form 8-K dated February 28, 1990, Exhibit 10 of Current Report on Form 8-K dated February 25, 1991 and Exhibit 10 of Current Report on Form 8-K dated May 28, 1991) 10.3 Form of Trust Agreement between the Registrant and U.S. Trust Company of California, N.A., as Trustee, relating to the Company's Employee Stock Ownership Plan (Exhibit 10.3 of Annual Report on Form 10-K for the year ended September 30, 1994) 10.4 Warrant Agreement to Officer (Exhibit 28 of Current Report on Form 8-K dated March 2, 1983)
10-K/A4th Page of 6TOC1stPreviousNextBottomJust 4th
10.5 1992 Non-Qualified Stock Option Plan (Exhibit 10.10 of Annual Report on Form 10-K for the year ended September 30, 1993) 10.6 Non-Qualified Stock Option Plan (Exhibit 10.12 of Annual Report on Form 10-K for the year ended September 30, 1988) 10.7 Form of Indemnification Agreement between the Registrant and its officers and directors (Exhibit 28 to Current Report on Form 8-K dated May 3, 1990) 10.8 Outside Director Stock Award Plan (Exhibit 4 of Form S-8 Registration Statement No. 33-52319) 10.9 1995 Stock Option Plan (Exhibit 4 of Form S-8 Registration Statement No. 33-57683) 21 The following lists the Company's significant subsidiaries all of which are wholly-owned by the Company. The names of certain subsidiaries which do not, when considered in the aggregate constitute a significant subsidiary, have been omitted. [Download Table] State of Name of Subsidiary Incorporation ------------------ ------------- Clopay Corporation Delaware Telephonics Corporation Delaware 23** Consent of Arthur Andersen LLP 27.1* Restated Financial Data Schedule for the Period ended June 30, 1996 27.2* Restated Financial Data Schedule for the Period ended March 31, 1996 27.3* Restated Financial Data Schedule for the Period ended December 31, 1995 27.4* Restated Financial Data Schedule for the Period ended September 30, 1995 27.5* Restated Financial Data Schedule for the Period ended June 30, 1995 27.6* Restated Financial Data Schedule for the Period ended March 31, 1995 27.7* Restated Financial Data Schedule for the Period ended December 31, 1994 27.8* Restated Financial Data Schedule for the Period ended September 30, 1994 --------------- * Filed herewith. All other exhibits are incorporated herein by reference to the exhibit indicated in the parenthetical references. ** Previously filed.
10-K/A5th Page of 6TOC1stPreviousNextBottomJust 5th
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this amendment to be signed on its behalf by the undersigned, thereunto duly authorized. GRIFFON CORPORATION By Robert Balemian ---------------------------- Robert Balemian President (Principal Financial Officer) Date: December 10, 1996
10-K/ALast Page of 6TOC1stPreviousNextBottomJust 6th
EXHIBIT INDEX Exhibit No. 27.1 Restated Financial Data Schedule for the Period ended June 30, 1996 27.2 Restated Financial Data Schedule for the Period ended March 31, 1996 27.3 Restated Financial Data Schedule for the Period ended December 31, 1995 27.4 Restated Financial Data Schedule for the Period ended September 30, 1995 27.5 Restated Financial Data Schedule for the Period ended June 30, 1995 27.6 Restated Financial Data Schedule for the Period ended March 31, 1995 27.7 Restated Financial Data Schedule for the Period ended December 31, 1994 27.8 Restated Financial Data Schedule for the Period ended September 30, 1994

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘10-K/A’ Filing    Date First  Last      Other Filings
Filed on:12/10/965
11/15/962
For Period End:9/30/96110-K
6/30/964610-Q
5/9/9638-K
3/31/964610-Q
12/31/954610-Q
9/30/953610-K405
6/30/954610-Q
6/8/953
3/31/954610-Q
12/31/944610-Q
11/8/9438-K
9/30/943610-K405
9/30/934
 List all Filings 
Top
Filing Submission 0000050725-96-000012   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., Mar. 29, 4:25:02.2am ET