Key facts
- This page summarizes Alan E. Smith's Form 4 filing for GRAHAM CORP (GHM).
- 2 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 02 Jun 2023, 16:34.
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
- -$5,597
- SEC form
- 4
- Accepted by SEC
- 02 Jun 2023, 16:34:28 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 02 Jun 2023.
Change
- Previous filing in this sequence was filed on 21 Feb 2023.
- Current net transaction value: -$5,597.
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
- -9,126
- Change %
- -15%
- Price
- $0.000000
- Shares after
- 50,663
- Date
- 17 May 2023
- Ownership
- Direct
- Footnotes
- F1
GHM
transaction
Common Stock
Tax liability
- Transaction value
- $5,597
- Shares
- -507
- Change %
- -1%
- Price
- $11.04
- Shares after
- 50,156
- Date
- 01 Jun 2023
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
GHM
holding
Derivative
Restricted Stock Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 6,106
- Date
- 17 May 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 6,106
- Exercise price
- $0.000000
- Footnotes
- F3, F4
GHM
holding
Derivative
Restricted Stock Units
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 7,123
- Date
- 17 May 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 7,123
- Exercise price
- $0.000000
- Footnotes
- F3, F5
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, F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote F1
Shares forfeited under the terms of Mr. Smith's June 9, 2020 performance-vested restricted stock award.
Footnote F2
Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.
Footnote F3
These restricted stock units convert into common stock on a one-for-one basis.
Footnote F4
One-third of the original grant of these restricted stock units vested on 5/23/2023, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 5/23/2024 and 5/23/2025.
Footnote F5
One-third of these restricted stock units will vest on each of 5/17/2024, 5/17/2025 and 5/17/2026, except as otherwise provided in the award notice.
Footnote F6
These restricted stock units will vest on 5/23/2025, the third anniversary of the grant date, except as otherwise provided in the award notice.