James R. Lines - 31 Mar 2021 Form 4 Insider Report for GRAHAM CORP (GHM)

Role
Chief Executive Officer, Director
Signature
/s/ Jennifer R. Condame, Attorney-in-Fact for James R. Lines
Issuer symbol
GHM
Transactions as of
31 Mar 2021
Net transactions value
$0
Form type
4
Filing time
02 Jun 2021, 16:56:02 UTC
Next filing
20 May 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GHM Common Stock Disposed to Issuer $0 -5,813 -3.5% $0.000000 159,530 31 Mar 2021 Direct F1
transaction GHM Common Stock Disposed to Issuer $0 -9,804 -6.1% $0.000000 149,726 31 Mar 2021 Direct F2
transaction GHM Common Stock Award $0 +13,063 +8.7% $0.000000 162,789 01 Jun 2021 Direct F3
transaction GHM Common Stock Award $0 +26,126 +16% $0.000000 188,915 01 Jun 2021 Direct F4

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 Stock Option (Right to Buy) 10,894 31 Mar 2021 Common Stock 10,894 $18.65 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares forfeited under the terms of Mr. Lines' May 30, 2018 performance-vested restricted stock award.
F2 Shares forfeited under the terms of Mr. Lines' May 29, 2019 performance-vested restricted stock award.
F3 This time-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3.
F4 This performance-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria.