Key facts
- This page summarizes Alan E. Smith's Form 4 filing for GRAHAM CORP (GHM).
- 6 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 02 Jun 2021, 16:57.
Alan E. Smith - 31 Mar 2021 Form 4 Insider Report for GRAHAM CORP (GHM)
- Reporting relationship
- VP & General Manager - Batavia
- Issuer ticker
- GHM
- Reported as of
- 31 Mar 2021
- Net transaction value
- -$13,574
- SEC form
- 4
- Accepted by SEC
- 02 Jun 2021, 16:57:21 UTC
- Next SEC filing
- 20 May 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Jennifer R. Condame, Attorney-in-Fact for Alan E. Smith
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Alan E. Smith filed Form 4 for GRAHAM CORP (GHM) on 02 Jun 2021.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: -$13,574.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
GHM
transaction
Common Stock
Disposed to Issuer
- Transaction value
- $0
- Shares
- -2,387
- Change %
- -5.3%
- Price
- $0.000000
- Shares after
- 43,007
- Date
- 31 Mar 2021
- Ownership
- Direct
- Footnotes
- F1
GHM
transaction
Common Stock
Disposed to Issuer
- Transaction value
- $0
- Shares
- -3,156
- Change %
- -7.3%
- Price
- $0.000000
- Shares after
- 39,851
- Date
- 31 Mar 2021
- Ownership
- Direct
- Footnotes
- F2
GHM
transaction
Common Stock
Tax liability
- Transaction value
- $7,727
- Shares
- -526
- Change %
- -1.3%
- Price
- $14.69
- Shares after
- 39,325
- Date
- 29 May 2021
- Ownership
- Direct
- Footnotes
- F3
GHM
transaction
Common Stock
Tax liability
- Transaction value
- $5,847
- Shares
- -398
- Change %
- -1%
- Price
- $14.69
- Shares after
- 38,927
- Date
- 30 May 2021
- Ownership
- Direct
- Footnotes
- F3
GHM
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +4,332
- Change %
- +11%
- Price
- $0.000000
- Shares after
- 43,259
- Date
- 01 Jun 2021
- Ownership
- Direct
- Footnotes
- F4
GHM
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +8,664
- Change %
- +20%
- Price
- $0.000000
- Shares after
- 51,923
- Date
- 01 Jun 2021
- Ownership
- Direct
- Footnotes
- F5
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
GHM
holding
Derivative
Stock Option (Right to Buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 6,059
- Date
- 31 Mar 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 6,059
- Exercise price
- $18.65
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Shares forfeited under the terms of Mr. Smith's May 30, 2018 performance-vested restricted stock award.
Footnote F2
Shares forfeited under the terms of Mr. Smith's May 29, 2019 performance-vested restricted stock award.
Footnote F3
Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.
Footnote F4
This time-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3.
Footnote F5
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.