# EDGAR Filing Document

**Accession Number:** 0001798383
**File Stem:** 0000921895-23-000100
**Filing Date:** 2023-1
**Character Count:** 15728
**Document Hash:** dfb1c7340dd48598645c02729454c5a2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000921895-23-000100.hdr.sgml**: 20230111

**ACCESSION NUMBER**: 0000921895-23-000100

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230109

**FILED AS OF DATE**: 20230111

**DATE AS OF CHANGE**: 20230111

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Voss Capital, LLC
- **CENTRAL INDEX KEY:** 0001730145
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-06620
- **FILM NUMBER:** 23524415

**BUSINESS ADDRESS:**
- **STREET 1:** 3773 RICHMOND AVENUE
- **STREET 2:** SUITE 500
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77046
- **BUSINESS PHONE:** 8325199427

**MAIL ADDRESS:**
- **STREET 1:** 3773 RICHMOND AVENUE
- **STREET 2:** SUITE 500
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77046

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Voss Capital LLC
- **DATE OF NAME CHANGE:** 20180201
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Cocke Travis W.
- **CENTRAL INDEX KEY:** 0001798383

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-06620
- **FILM NUMBER:** 23524417

**MAIL ADDRESS:**
- **STREET 1:** 3773 RICHMOND AVENUE, SUITE 500
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77046
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Voss Advisors GP, LLC
- **CENTRAL INDEX KEY:** 0001798309

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-06620
- **FILM NUMBER:** 23524416

**BUSINESS ADDRESS:**
- **STREET 1:** 3773 RICHMOND AVENUE, SUITE 500
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77046
- **BUSINESS PHONE:** 832-519-9427

**MAIL ADDRESS:**
- **STREET 1:** 3773 RICHMOND AVENUE, SUITE 500
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77046
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GRIFFON CORP
- **CENTRAL INDEX KEY:** 0000050725
- **STANDARD INDUSTRIAL CLASSIFICATION:** METAL DOORS, SASH, FRAMES, MOLDING & TRIM [3442]
- **IRS NUMBER:** 111893410
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**BUSINESS ADDRESS:**
- **STREET 1:** 712 FIFTH AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 2129575000

**MAIL ADDRESS:**
- **STREET 1:** 712 FIFTH AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** INSTRUMENT SYSTEMS CORP /DE/
- **DATE OF NAME CHANGE:** 19920703

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] 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**<sup>*</sup><br>Cocke Travis W.<br><sub>(Last) (First) (Middle)</sub><br>3773 RICHMOND AVENUE, SUITE 500<br><sub>(Street)</sub><br>HOUSTON, TX 77046<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>GRIFFON CORP [ GFF ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-09 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director   [ ] 10% Owner<br>[ ] Officer (give title below)   [X] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Voss Advisors GP, LLC<br><sub>(Last) (First) (Middle)</sub><br>3773 RICHMOND AVENUE, SUITE 500<br><sub>(Street)</sub><br>HOUSTON, TX 77046<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>GRIFFON CORP [ GFF ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-09 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director   [ ] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Voss Capital, LLC<br><sub>(Last) (First) (Middle)</sub><br>3773 RICHMOND AVENUE, SUITE 500<br><sub>(Street)</sub><br>HOUSTON, TX 77046<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>GRIFFON CORP [ GFF ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-09 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director   [ ] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.25 par value<sup>(1)</sup> | 1380000 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Common Stock, $0.25 par value<sup>(1)</sup> | 191099 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Common Stock, $0.25 par value<sup>(1)</sup> | 1497753 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 5700 | $20.50 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 11400 | $23 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 13500 | $25 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 5700 | $26 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 5700 | $27 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 5700 | $28 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 19900 | $30 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 25800 | $35 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 14200 | $40 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 100 | $43 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 14200 | $44 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 25000 | $50 | I | By: Voss Value Master Fund, L.P.<sup>(2)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 800 | $20.50 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 1600 | $23 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 1200 | $25 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 800 | $26 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 800 | $27 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 800 | $28 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 2700 | $30 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 3700 | $35 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 1900 | $40 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 1900 | $44 | I | By: Voss Value-Oriented Special Situations Fund, L.P.<sup>(3)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 3500 | $20.50 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 7000 | $23 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 10300 | $25 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 3500 | $26 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 3500 | $27 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 3500 | $28 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 12400 | $30 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |
| Call Option (right to buy) | <sup>(5)</sup> | 2023-01-20 | Common Stock, $0.25 par value | 15500 | $35 | I | By: Managed Accounts of Voss Capital, LLC<sup>(4)</sup> |

---

### Footnotes:

(1) This Form 3 is filed jointly by Voss Value Master Fund, L.P. ("Voss Value Master Fund"), Voss Value-Oriented Special Situations Fund, L.P. ("Voss Value-Oriented Special Situations Fund"), Voss Advisors GP, LLC ("Voss GP"), Voss Capital, LLC ("Voss Capital") and Travis W. Cocke (collectively, the "Reporting Persons"). Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Since the Securities and Exchange Commission's electronic filing system only accepts a maximum of 30 lines per Table, this report is the first in a series of two reports being filed with the Securities and Exchange Commission.

(2) Securities owned directly by Voss Value Master Fund. Voss GP, as the general partner of Voss Value Master Fund, may be deemed to beneficially own the securities owned directly by Voss Value Master Fund. Voss Capital, as the investment manager of Voss Value Master Fund, may be deemed to beneficially own the securities owned directly by Voss Value Master Fund. Mr. Cocke, as the managing member of Voss Capital and Voss GP, may be deemed to beneficially own the securities owned directly by Voss Value Master Fund.

(3) Securities owned directly by Voss Value-Oriented Special Situations Fund. Voss GP, as the general partner of Voss Value-Oriented Special Situations Fund, may be deemed to beneficially own the securities owned directly by Voss Value-Oriented Special Situations Fund. Voss Capital, as the investment manager of Voss Value-Oriented Special Situations Fund, may be deemed to beneficially own the securities owned directly by Voss Value-Oriented Special Situations Fund. Mr. Cocke, as the managing member of Voss Capital and Voss GP, may be deemed to beneficially own the securities owned directly by Voss Value-Oriented Special Situations Fund.

(4) Securities held in certain accounts separately managed by Voss Capital (the "Voss Managed Accounts"). Voss Capital, as the investment manager of the Voss Managed Accounts, may be deemed to beneficially own the securities held in the Voss Managed Accounts. Mr. Cocke, as the managing member of Voss Capital, may be deemed to beneficially own the securities held in the Voss Managed Accounts.

(5) Such options are exercisable as of the date hereof and were immediately exercisable upon their acquisition.

**Remarks:**
Mr. Cocke is a director of the Issuer. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of the Reporting Persons (other than Mr. Cocke) may be deemed a director by deputization by virtue of Mr. Cocke's service on the Board of Directors of the Issuer.

**Signature:** /s/ Travis W. Cocke  
**Date:** 2023-01-11

**Signature:** Voss Value Master Fund, L.P.; By: Voss Advisors GP, LLC; By: /s/ Travis W. Cocke  
**Date:** 2023-01-11

**Signature:** Voss Value-Oriented Special Situations Fund, L.P.; By: Voss Advisors GP, LLC; By: /s/ Travis W. Cocke  
**Date:** 2023-01-11

**Signature:** Voss Advisors GP, LLC; By: /s/ Travis W. Cocke  
**Date:** 2023-01-11

**Signature:** Voss Capital, LLC; By: /s/ Travis W. Cocke  
**Date:** 2023-01-11

### Remarks:

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.**