Alan E. Smith - 09 Jun 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
Issuer symbol
GHM
Transactions as of
09 Jun 2025
Net transactions value
-$161,625
Form type
4
Filing time
11 Jun 2025, 16:29:43 UTC
Previous filing
05 Jun 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 11 Jun 2025 0001408288

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GHM Common Stock Award $0 +7,693 +12% $0.000000 70,253 09 Jun 2025 Direct F1
transaction GHM Common Stock Tax liability $161,625 -3,619 -5.2% $44.66 66,634 09 Jun 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 2,582 09 Jun 2025 Common Stock 2,582 $0.000000 Direct F3
holding GHM Restricted Stock Units 2,375 09 Jun 2025 Common Stock 2,375 $0.000000 Direct F4
holding GHM Restricted Stock Units 2,591 09 Jun 2025 Common Stock 2,591 $0.000000 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.