Key facts
- This page summarizes Frederick Pollock's Form 4 filing for GCM Grosvenor Inc. (GCMG).
- 6 reported transactions and 4 derivative rows are listed below.
- Accepted by SEC: 03 Mar 2023, 15:26.
Frederick Pollock - 01 Mar 2023 Form 4 Insider Report for GCM Grosvenor Inc. (GCMG)
- Reporting relationship
- Chief Investment Officer
- Issuer ticker
- GCMG
- Reported as of
- 01 Mar 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 03 Mar 2023, 15:26:28 UTC
- Prior SEC filing
- 17 Aug 2022
- Next SEC filing
- 17 Aug 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Burke Montgomery, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Frederick Pollock filed Form 4 for GCM Grosvenor Inc. (GCMG) on 03 Mar 2023.
Change
- Previous filing in this sequence was filed on 17 Aug 2022.
- 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.
GCMG
transaction
Class A Common Stock
Options Exercise
- Transaction value
- Shares
- +250,000
- Change %
- +84%
- Price
- Shares after
- 546,435
- Date
- 01 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
GCMG
transaction
Class A Common Stock
Options Exercise
- Transaction value
- Shares
- +9,167
- Change %
- +1.7%
- Price
- Shares after
- 555,601
- Date
- 01 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
GCMG
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -250,000
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 01 Mar 2023
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 250,000
- Exercise price
- Footnotes
- F1, F2
GCMG
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -9,167
- Change %
- -50%
- Price
- $0.000000
- Shares after
- 9,167
- Date
- 01 Mar 2023
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 9,167
- Exercise price
- Footnotes
- F1, F3
GCMG
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +131,250
- Change %
- Price
- $0.000000
- Shares after
- 131,250
- Date
- 01 Mar 2023
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 131,250
- Exercise price
- Footnotes
- F1, F4
GCMG
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +75,000
- Change %
- Price
- $0.000000
- Shares after
- 75,000
- Date
- 01 Mar 2023
- Ownership
- Direct
- Underlying class
- Class A Common Stock
- Underlying amount
- 75,000
- Exercise price
- Footnotes
- F1, 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
Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of Class A Common Stock of the Issuer.
Footnote 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.
Footnote 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.
Footnote 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.
Footnote 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.