Frederick Pollock - 01 Mar 2023 Form 4 Insider Report for GCM Grosvenor Inc. (GCMG)

Role: Chief Investment Officer
Signature: /s/ Burke Montgomery, Attorney-in-Fact
Issuer symbol: GCMG
Transactions as of: 01 Mar 2023
Net transactions value: $0
Form type: 4
Filing time: 03 Mar 2023, 15:26:28 UTC
Previous filing: 17 Aug 2022
Next filing: 17 Aug 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	GCMG	Class A Common Stock	Options Exercise		+250,000	+84%		546,435	01 Mar 2023	Direct	F1
transaction	GCMG	Class A Common Stock	Options Exercise		+9,167	+1.7%		555,601	01 Mar 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	-250,000	-100%	$0.000000^*	0	01 Mar 2023	Class A Common Stock	250,000		Direct	F1, F2
transaction	GCMG	Restricted Stock Units	Options Exercise	$0	-9,167	-50%	$0.000000	9,167	01 Mar 2023	Class A Common Stock	9,167		Direct	F1, F3
transaction	GCMG	Restricted Stock Units	Award	$0	+131,250		$0.000000	131,250	01 Mar 2023	Class A Common Stock	131,250		Direct	F1, F4
transaction	GCMG	Restricted Stock Units	Award	$0	+75,000		$0.000000	75,000	01 Mar 2023	Class A Common Stock	75,000		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.