Key facts
- This page summarizes Alan E. Smith's Form 4 filing for GRAHAM CORP (GHM).
- 1 reported transaction and 3 derivative rows are listed below.
- Accepted by SEC: 18 May 2023, 16:32.
Alan E. Smith - 17 May 2023 Form 4 Insider Report for GRAHAM CORP (GHM)
- Reporting relationship
- VP & General Manager - Batavia
- Issuer ticker
- GHM
- Reported as of
- 17 May 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 18 May 2023, 16:32:50 UTC
- Prior SEC filing
- 21 Feb 2023
- Next SEC filing
- 24 May 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Christina McLeod, Attorney-in-Fact for Alan E. Smith
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Alan E. Smith filed Form 4 for GRAHAM CORP (GHM) on 18 May 2023.
Change
- Previous filing in this sequence was filed on 21 Feb 2023.
- Current net transaction value: $0.
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
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 57,999
- Date
- 17 May 2023
- Ownership
- Direct
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
GHM
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +7,123
- Change %
- Price
- $0.000000
- Shares after
- 7,123
- Date
- 17 May 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 7,123
- Exercise price
- $0.000000
- Footnotes
- F1
GHM
holding
Derivative
Restricted Stock Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 9,158
- Date
- 17 May 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 9,158
- Exercise price
- $0.000000
- Footnotes
- F2
GHM
holding
Derivative
Restricted Stock Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 18,315
- Date
- 17 May 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 18,315
- Exercise price
- $0.000000
- Footnotes
- F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 3 footnotes
Footnote F1
These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.
Footnote F2
These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of 5/23/2023, 5/23/2024 and 5/23/2025, except as otherwise provided in the award notice.
Footnote F3
These restricted stock units, which convert into common stock on a one-for-one basis, vest on 5/23/2025, the third anniversary of the grant date, except as otherwise provided in the award notice.