Alan E. Smith - 09 Jun 2025 Form 4 Insider Report for GRAHAM CORP (GHM)

Role: VP & General Manager - Batavia
Issuer symbol: GHM
Report date: 09 Jun 2025
Net transaction value: -$161,625
Form type: 4
Accepted by SEC: 11 Jun 2025, 16:29:43 UTC
Previous filing: 05 Jun 2025
SEC filing: View on sec.gov
Reporting owner signature: /s/ Christina McLeod, Attorney-in-Fact for Alan E. Smith

Key filing fact

Alan E. Smith filed Form 4 for GRAHAM CORP (GHM) on 11 Jun 2025.

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: 11 Jun 2025, 16:29.

Change

Previous filing in this sequence was filed on 05 Jun 2025.
Current net transaction value: -$161,625.

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

Ownership activity is grounded in SEC Form 4 disclosures.

See Original Filing

Reporting Owners (1)

CIK 0001408288 Primary reporting owner

Smith Alan E

Relationship: VP & General Manager - Batavia
Address: C/O GRAHAM CORPORATION, 20 FLORENCE AVENUE, BATAVIA
Signature: /s/ Christina McLeod, Attorney-in-Fact for Alan E. Smith
Signature date: 11 Jun 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

GHM transaction

Common Stock

Award

Transaction value: $0
Shares: +7,693
Change %: +12%
Price: $0.000000
Shares after: 70,253
Date: 09 Jun 2025
Ownership: Direct
Footnotes: F1

GHM transaction

Common Stock

Tax liability

Transaction value: $161,625
Shares: -3,619
Change %: -5.2%
Price: $44.66
Shares after: 66,634
Date: 09 Jun 2025
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: 2,582
Date: 09 Jun 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,582
Exercise price: $0.000000
Footnotes: F3

GHM holding Derivative

Restricted Stock Units

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,375
Date: 09 Jun 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,375
Exercise price: $0.000000
Footnotes: F4

GHM holding Derivative

Restricted Stock Units

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,591
Date: 09 Jun 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,591
Exercise price: $0.000000
Footnotes: F5

^* 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

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.

Footnote F2

Shares withheld to cover tax withholding obligations upon the vesting of performance-based restricted stock units.

Footnote 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.

Footnote 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.

Footnote 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.