Frederick Pollock - Mar 1, 2023 Form 4 Insider Report for GCM Grosvenor Inc. (GCMG)

Role
Chief Investment Officer
Signature
/s/ Burke Montgomery, Attorney-in-Fact
Stock symbol
GCMG
Transactions as of
Mar 1, 2023
Transactions value $
$0
Form type
4
Date filed
3/3/2023, 03:26 PM
Previous filing
Aug 17, 2022
Next filing
Aug 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GCMG Class A Common Stock Options Exercise +250K +84.34% 546K Mar 1, 2023 Direct F1
transaction GCMG Class A Common Stock Options Exercise +9.17K +1.68% 556K Mar 1, 2023 Direct F1

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
transaction GCMG Restricted Stock Units Options Exercise $0 -250K -100% $0.00* 0 Mar 1, 2023 Class A Common Stock 250K Direct F1, F2
transaction GCMG Restricted Stock Units Options Exercise $0 -9.17K -50% $0.00 9.17K Mar 1, 2023 Class A Common Stock 9.17K Direct F1, F3
transaction GCMG Restricted Stock Units Award $0 +131K $0.00 131K Mar 1, 2023 Class A Common Stock 131K Direct F1, F4
transaction GCMG Restricted Stock Units Award $0 +75K $0.00 75K Mar 1, 2023 Class A Common Stock 75K Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of Class A Common Stock of the Issuer.
F2 Represents a grant of RSUs under the Issuer's 2020 Incentive Award Plan on March 1, 2021. 250,000 RSUs vested on each of March 1, 2021, March 1, 2022 and March 1, 2023. Delivery of shares of Class A Common Stock in settlement of vested RSUs generally occurs in August of the year in which the RSUs vest.
F3 Represents a grant of RSUs under the Issuer's 2020 Incentive Award Plan on March 1, 2022. 9,166.67 RSUs vested on each of March 1, 2022 and March 1, 2023, and 9,166.66 RSUs will vest on Marh 1, 2024. Delivery of shares of Class A Common Stock in settlement of vested RSUs generally occurs in August of the year in which the RSUs vest.
F4 Represents a grant of RSUs under the Issuer's 2020 Incentive Award Plan on March 1, 2023. The RSUs will vest in full on August 15, 2023, subject to the Reporting Person's continued service through the vesting date. Delivery of Class A Common Stock in settlement of vested RSUs will occur on the delivery date set forth in the applicable award agreement unless the Issuer elects to settle the RSUs in cash, or a combination of Class A Common Stock and cash, in the Issuer's sole discretion.
F5 Represents a grant of RSUs under the Issuer's 2020 Incentive Award Plan on March 1, 2023. The RSUs will vest in three equal installments on May 31, 2024, May 31, 2025 and May 31, 2026, subject to the Reporting Person's continued service through the applicable vesting date. Delivery of Class A Common Stock in settlement of vested RSUs will occur on the delivery date set forth in the applicable award agreement.