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GHM

GRAHAM CORP

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1960
SEC CIK
0000716314
Parsed reports
251

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 02, 2025 Filed Jun 4, 2025 20:28 UTC GrantRestricted Stock Units · Derivative 1,956 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010995 · form4.xml · derivative · entry 3

Schnorr Lisa M. · CIK 0001615574 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,956

Underlying: Common Stock · 1,956 shares

Expires not disclosed

F3 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026 and become payable in common stock upon separation of the Reporting Person's service as a director.

F3 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026 and become payable in common stock upon separation of the Reporting Person's service as a director.

F3 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026 and become payable in common stock upon separation of the Reporting Person's service as a director.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:28 UTC GrantRestricted Stock Units · Derivative 1,956 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010994 · form4.xml · derivative · entry 3

Painter Jonathan W · CIK 0001247567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,956

Underlying: Common Stock · 1,956 shares

Expires not disclosed

F3 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026 and become payable in common stock upon separation of the Reporting Person's service as a director.

F3 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026 and become payable in common stock upon separation of the Reporting Person's service as a director.

F3 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026 and become payable in common stock upon separation of the Reporting Person's service as a director.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:27 UTC GrantRestricted Stock Units · Derivative 1,956 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010992 · form4.xml · derivative · entry 3

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,956

Underlying: Common Stock · 1,956 shares

Expires not disclosed

F2 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026.

F2 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026.

F2 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:26 UTC GrantRestricted Stock Units · Derivative 1,956 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010991 · form4.xml · derivative · entry 3

Barber James J · CIK 0001377811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,956

Underlying: Common Stock · 1,956 shares

Expires not disclosed

F2 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026.

F2 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026.

F2 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 6/2/2026.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:25 UTC
Smith Alan EVP & General Manager - Batavia
GrantRestricted Stock Units · Derivative 2,591 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010989 · form4.xml · derivative · entry 2

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,591

Underlying: Common Stock · 2,591 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:25 UTC
Malone MatthewPresident and COO
GrantRestricted Stock Units · Derivative 7,622 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010988 · form4.xml · derivative · entry 2

Malone Matthew · CIK 0001864755 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,622

Underlying: Common Stock · 7,622 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:24 UTC
Thome Christopher J.VP-Finance; CFO
GrantRestricted Stock Units · Derivative 3,299 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010986 · form4.xml · derivative · entry 2

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,299

Underlying: Common Stock · 3,299 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:24 UTC
Thoren Daniel J.Director · Chief Executive Officer
GrantRestricted Stock Units · Derivative 1,588 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010985 · form4.xml · derivative · entry 2

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,588

Underlying: Common Stock · 1,588 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Exercise / conversionRestricted Stock Units · Derivative 18,315 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010381 · form4.xml · derivative · entry 6

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,315 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: These restricted stock units vested on 5/23/2025.

F3 · derivative.expiration_date: These restricted stock units vested on 5/23/2025.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Exercise / conversionRestricted Stock Units · Derivative 3,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010381 · form4.xml · derivative · entry 5

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,053 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: These restricted stock units vested on 5/23/2025.

F3 · derivative.expiration_date: These restricted stock units vested on 5/23/2025.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Tax withholdingCommon Stock 8,617 $36.79 $317,019.43
Disclosure

SEC source: 0001062993-25-010381 · form4.xml · nonDerivative · entry 4

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,876

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Exercise / conversionCommon Stock 18,315 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010381 · form4.xml · nonDerivative · entry 3

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,493

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Tax withholdingCommon Stock 1,436 $36.79 $52,830.44
Disclosure

SEC source: 0001062993-25-010381 · form4.xml · nonDerivative · entry 2

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,178

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Exercise / conversionCommon Stock 3,053 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010381 · form4.xml · nonDerivative · entry 1

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,614

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Thoren Daniel J.Director · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 8,140 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010380 · form4.xml · derivative · entry 3

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,140 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: These restricted stock units vested on 5/23/2025.

F3 · derivative.expiration_date: These restricted stock units vested on 5/23/2025.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Thoren Daniel J.Director · Chief Executive Officer
Tax withholdingCommon Stock 2,934 $36.79 $107,941.86
Disclosure

SEC source: 0001062993-25-010380 · form4.xml · nonDerivative · entry 2

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,119

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:30 UTC
Thoren Daniel J.Director · Chief Executive Officer
Exercise / conversionCommon Stock 8,140 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010380 · form4.xml · nonDerivative · entry 1

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 338,053

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:29 UTC
Thome Christopher J.VP-Finance; CFO
Exercise / conversionRestricted Stock Units · Derivative 2,951 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010379 · form4.xml · derivative · entry 3

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,951 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: These restricted stock units vested on 5/23/2025.

F3 · derivative.expiration_date: These restricted stock units vested on 5/23/2025.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:29 UTC
Thome Christopher J.VP-Finance; CFO
Tax withholdingCommon Stock 1,063 $36.79 $39,107.77
Disclosure

SEC source: 0001062993-25-010379 · form4.xml · nonDerivative · entry 2

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,553

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:29 UTC
Thome Christopher J.VP-Finance; CFO
Exercise / conversionCommon Stock 2,951 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010379 · form4.xml · nonDerivative · entry 1

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,616

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:29 UTC
Malone MatthewPresident and COO
Exercise / conversionRestricted Stock Units · Derivative 3,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010378 · form4.xml · derivative · entry 2

Malone Matthew · CIK 0001864755 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,053 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units vested on 5/23/2025.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2025.

Read SEC document
May 23, 2025 Filed May 27, 2025 20:29 UTC
Malone MatthewPresident and COO
Exercise / conversionCommon Stock 3,053 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-010378 · form4.xml · nonDerivative · entry 1

Malone Matthew · CIK 0001864755 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,662

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:32 UTC
Thome Christopher J.VP-Finance; CFO
Exercise / conversionRestricted Stock Units · Derivative 2,374 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009887 · form4.xml · derivative · entry 3

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,375

Underlying: Common Stock · 2,374 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

F4 · derivative.expiration_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:32 UTC
Thome Christopher J.VP-Finance; CFO
Tax withholdingCommon Stock 906 $37.29 $33,784.74
Disclosure

SEC source: 0001062993-25-009887 · form4.xml · nonDerivative · entry 2

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,665

F3 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:32 UTC
Thome Christopher J.VP-Finance; CFO
Exercise / conversionCommon Stock 2,374 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009887 · form4.xml · nonDerivative · entry 1

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,571

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: Includes 1,317 shares acquired under the Graham Corporation Employee Stock Purchase Plan.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:31 UTC
Malone MatthewPresident and COO
Exercise / conversionRestricted Stock Units · Derivative 2,374 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009885 · form4.xml · derivative · entry 2

Malone Matthew · CIK 0001864755 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,375

Underlying: Common Stock · 2,374 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

F2 · derivative.expiration_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:31 UTC
Malone MatthewPresident and COO
Exercise / conversionCommon Stock 2,374 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009885 · form4.xml · nonDerivative · entry 1

Malone Matthew · CIK 0001864755 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,609

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:31 UTC
Thoren Daniel J.Director · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 6,088 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009886 · form4.xml · derivative · entry 3

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,089

Underlying: Common Stock · 6,088 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

F4 · derivative.expiration_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:31 UTC
Thoren Daniel J.Director · Chief Executive Officer
Tax withholdingCommon Stock 2,191 $37.29 $81,702.39
Disclosure

SEC source: 0001062993-25-009886 · form4.xml · nonDerivative · entry 2

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 329,913

F3 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:31 UTC
Thoren Daniel J.Director · Chief Executive Officer
Exercise / conversionCommon Stock 6,088 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009886 · form4.xml · nonDerivative · entry 1

Thoren Daniel J. · CIK 0001864850 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,104

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: Includes 1,131 shares acquired under the Graham Corporation Employee Stock Purchase Plan.

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May 17, 2025 Filed May 20, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Exercise / conversionRestricted Stock Units · Derivative 2,374 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009883 · form4.xml · derivative · entry 3

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,375

Underlying: Common Stock · 2,374 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

F3 · derivative.expiration_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/17/2024 and 5/17/2025, and except as otherwise provided in the award notice, the balance vests on 5/17/2026.

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May 17, 2025 Filed May 20, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Tax withholdingCommon Stock 1,164 $37.29 $43,405.56
Disclosure

SEC source: 0001062993-25-009883 · form4.xml · nonDerivative · entry 2

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,561

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units.

Read SEC document
May 17, 2025 Filed May 20, 2025 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Exercise / conversionCommon Stock 2,374 $0.00 $0.00
Disclosure

SEC source: 0001062993-25-009883 · form4.xml · nonDerivative · entry 1

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,725

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These restricted stock units convert into common stock on a one-for-one basis.

Read SEC document
September 01, 2024 Filed Sep 4, 2024 20:34 UTC
Thoren Daniel J.Director · President and CEO
Tax withholdingCommon Stock 1,381 $31.84 $43,971.04
Disclosure

SEC source: 0001062993-24-016105 · form4.xml · nonDerivative · entry 1

Thoren Daniel J. · CIK 0001864850 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,885

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award granted on September 1, 2021.

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June 04, 2024 Filed Jun 6, 2024 20:35 UTC
Thoren Daniel J.Director · President and CEO
GrantRestricted Stock Units · Derivative 16,628 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012064 · form4.xml · derivative · entry 2

Thoren Daniel J. · CIK 0001864850 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,628

Underlying: Common Stock · 16,628 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

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June 04, 2024 Filed Jun 6, 2024 20:34 UTC
Malone MatthewVP & GM of Barber-Nichols
GrantRestricted Stock Units · Derivative 3,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012063 · form4.xml · derivative · entry 2

Malone Matthew · CIK 0001864755 · VP & GM of Barber-Nichols

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,873

Underlying: Common Stock · 3,873 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

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June 04, 2024 Filed Jun 6, 2024 20:34 UTC
Smith Alan EVP & General Manager - Batavia
GrantRestricted Stock Units · Derivative 3,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012062 · form4.xml · derivative · entry 2

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,873

Underlying: Common Stock · 3,873 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

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June 04, 2024 Filed Jun 6, 2024 20:33 UTC
Thome Christopher J.VP-Finance; CFO
GrantRestricted Stock Units · Derivative 4,930 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012061 · form4.xml · derivative · entry 2

Thome Christopher J. · CIK 0001917893 · VP-Finance; CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,930

Underlying: Common Stock · 4,930 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

F2 · derivative.expiration_date: These restricted stock units were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest one-third on each of 6/4/2025, 6/4/2026 and 6/4/2027.

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June 04, 2024 Filed Jun 6, 2024 20:33 UTC GrantRestricted Stock Units · Derivative 2,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012060 · form4.xml · derivative · entry 2

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,934

Underlying: Common Stock · 2,934 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 20:32 UTC GrantRestricted Stock Units · Derivative 2,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012059 · form4.xml · derivative · entry 2

Stoner Troy A. · CIK 0001916970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,934

Underlying: Common Stock · 2,934 shares

Expires not disclosed

F2 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

F2 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

F2 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

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June 04, 2024 Filed Jun 6, 2024 20:32 UTC GrantRestricted Stock Units · Derivative 2,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012057 · form4.xml · derivative · entry 2

Schnorr Lisa M. · CIK 0001615574 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,934

Underlying: Common Stock · 2,934 shares

Expires not disclosed

F2 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

F2 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

F2 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 20:31 UTC GrantRestricted Stock Units · Derivative 2,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012056 · form4.xml · derivative · entry 2

PAINTER JONATHAN W · CIK 0001247567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,934

Underlying: Common Stock · 2,934 shares

Expires not disclosed

F2 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

F2 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

F2 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant and become payable in common stock upon separation of the Reporting Person's service as a director.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 20:30 UTC GrantRestricted Stock Units · Derivative 2,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012055 · form4.xml · derivative · entry 2

Barber James J · CIK 0001377811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,934

Underlying: Common Stock · 2,934 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

Read SEC document
June 04, 2024 Filed Jun 6, 2024 20:30 UTC
Fortier AlanDirector
GrantRestricted Stock Units · Derivative 2,934 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001062993-24-012054 · form4.xml · derivative · entry 2

Fortier Alan · CIK 0001441495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,934

Underlying: Common Stock · 2,934 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

F1 · derivative.exercise_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

F1 · derivative.expiration_date: These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on the first anniversary of the date of grant.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:32 UTC
Malone MatthewVP & GM of Barber-Nichols
Tax withholdingCommon Stock 2,347 $27.05 $63,486.35
Disclosure

SEC source: 0001062993-24-011830 · form4.xml · nonDerivative · entry 2

Malone Matthew · CIK 0001864755 · VP & GM of Barber-Nichols

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,235

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a performance stock award granted on June 1, 2021.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:32 UTC
Malone MatthewVP & GM of Barber-Nichols
Tax withholdingCommon Stock 391 $27.05 $10,576.55
Disclosure

SEC source: 0001062993-24-011830 · form4.xml · nonDerivative · entry 1

Malone Matthew · CIK 0001864755 · VP & GM of Barber-Nichols

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,582

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award granted on June 1, 2021.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:31 UTC
Thoren Daniel J.Director · President and CEO
Tax withholdingCommon Stock 6,442 $27.05 $174,256.10
Disclosure

SEC source: 0001062993-24-011829 · form4.xml · nonDerivative · entry 3

Thoren Daniel J. · CIK 0001864850 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 326,266

F3 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a performance stock award granted on September 1, 2021.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:31 UTC
Thoren Daniel J.Director · President and CEO
Tax withholdingCommon Stock 4,297 $27.05 $116,233.85
Disclosure

SEC source: 0001062993-24-011829 · form4.xml · nonDerivative · entry 2

Thoren Daniel J. · CIK 0001864850 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,708

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a performance stock award granted on June 1, 2021.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:31 UTC
Thoren Daniel J.Director · President and CEO
Tax withholdingCommon Stock 716 $27.05 $19,367.80
Disclosure

SEC source: 0001062993-24-011829 · form4.xml · nonDerivative · entry 1

Thoren Daniel J. · CIK 0001864850 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 337,005

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award granted on June 1, 2021.

Read SEC document
June 01, 2024 Filed Jun 4, 2024 20:30 UTC
Smith Alan EVP & General Manager - Batavia
Tax withholdingCommon Stock 3,123 $27.05 $84,477.15
Disclosure

SEC source: 0001062993-24-011828 · form4.xml · nonDerivative · entry 2

Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,351

F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a performance stock award granted on June 1, 2021.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.