Alan E. Smith - Jun 9, 2025 Form 4 Insider Report for GRAHAM CORP (GHM)

Role
VP & General Manager - Batavia
Signature
/s/ Christina McLeod, Attorney-in-Fact for Alan E. Smith
Stock symbol
GHM
Transactions as of
Jun 9, 2025
Transactions value $
-$161,625
Form type
4
Date filed
6/11/2025, 04:29 PM
Previous filing
Jun 5, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Smith Alan E VP & General Manager - Batavia C/O GRAHAM CORPORATION, 20 FLORENCE AVENUE, BATAVIA /s/ Christina McLeod, Attorney-in-Fact for Alan E. Smith 2025-06-11 0001408288

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GHM Common Stock Award $0 +7.69K +12.3% $0.00 70.3K Jun 9, 2025 Direct F1
transaction GHM Common Stock Tax liability -$162K -3.62K -5.15% $44.66 66.6K Jun 9, 2025 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding GHM Restricted Stock Units 2.58K Jun 9, 2025 Common Stock 2.58K $0.00 Direct F3
holding GHM Restricted Stock Units 2.38K Jun 9, 2025 Common Stock 2.38K $0.00 Direct F4
holding GHM Restricted Stock Units 2.59K Jun 9, 2025 Common Stock 2.59K $0.00 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were awarded to Mr. Smith upon the vesting of performance-based restricted stock units granted to him under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. The shares underlying this award vested after three years based on the Company's achievement on certain pre-determined performance measures over the eligible three-year period that ended on 3/31/2025.
F2 Shares withheld to cover tax withholding obligations upon the vesting of performance-based restricted stock units.
F3 These restricted stock units, which convert into common stock on a one-for-one basis, vest in substantially equal installments on each of 6/4/2026 and 6/4/2027, except as otherwise provided in the award notice.
F4 These restricted stock units, which convert into common stock on a one-for-one basis, vest on 5/17/2026, except as otherwise provided in the award notice.
F5 These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028, except as otherwise provided in the award notice.