GHM

SEC source: 0001062993-23-012061 · form4.xml · derivative · entry 2

Stoner Troy A. · CIK 0001916970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,105 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 5/23/2023.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2023.

SEC source: 0001062993-23-012061 · form4.xml · nonDerivative · entry 1

Stoner Troy A. · CIK 0001916970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,340

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.

SEC source: 0001062993-23-012060 · form4.xml · derivative · entry 2

Schnorr Lisa M. · CIK 0001615574 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,105 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 5/23/2023.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2023.

SEC source: 0001062993-23-012060 · form4.xml · nonDerivative · entry 1

Schnorr Lisa M. · CIK 0001615574 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,584

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.

SEC source: 0001062993-23-012059 · form4.xml · derivative · entry 2

PAINTER JONATHAN W · CIK 0001247567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,105 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 5/23/2023.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2023.

SEC source: 0001062993-23-012059 · form4.xml · nonDerivative · entry 1

PAINTER JONATHAN W · CIK 0001247567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,273

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.

SEC source: 0001062993-23-012058 · form4.xml · derivative · entry 2

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,105 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 5/23/2023.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2023.

SEC source: 0001062993-23-012058 · form4.xml · nonDerivative · entry 1

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,340

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.

SEC source: 0001062993-23-012057 · form4.xml · derivative · entry 2

Fortier Alan · CIK 0001441495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,105 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 5/23/2023.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2023.

SEC source: 0001062993-23-012057 · form4.xml · nonDerivative · entry 1

Fortier Alan · CIK 0001441495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,173

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.

SEC source: 0001062993-23-012056 · form4.xml · derivative · entry 2

Barber James J · CIK 0001377811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,105 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 5/23/2023.

F2 · derivative.expiration_date: These restricted stock units vested on 5/23/2023.

SEC source: 0001062993-23-012056 · form4.xml · nonDerivative · entry 1

Barber James J · CIK 0001377811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,508

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.

SEC source: 0001062993-23-011646 · form4.xml · derivative · entry 2

Stoner Troy A. · CIK 0001916970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Stock · 6,393 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 and become payable in common stock upon separation of the Reporting Person's service as a director.

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 and become payable in common stock upon separation of the Reporting Person's service as a director.

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 and become payable in common stock upon separation of the Reporting Person's service as a director.

SEC source: 0001062993-23-011644 · form4.xml · derivative · entry 2

Schnorr Lisa M. · CIK 0001615574 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Stock · 6,393 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 and become payable in common stock upon separation of the Reporting Person's service as a director.

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 and become payable in common stock upon separation of the Reporting Person's service as a director.

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 and become payable in common stock upon separation of the Reporting Person's service as a director.

SEC source: 0001062993-23-011639 · form4.xml · derivative · entry 2

Fortier Alan · CIK 0001441495 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Stock · 6,393 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.

SEC source: 0001062993-23-011641 · form4.xml · derivative · entry 2

PAINTER JONATHAN W · CIK 0001247567 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Stock · 6,393 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 and become payable in common stock upon separation of the Reporting Person's service as a director.

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 and become payable in common stock upon separation of the Reporting Person's service as a director.

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 and become payable in common stock upon separation of the Reporting Person's service as a director.

SEC source: 0001062993-23-011636 · form4.xml · derivative · entry 2

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Stock · 6,393 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.

SEC source: 0001062993-23-011627 · form4.xml · derivative · entry 2

Barber James J · CIK 0001377811 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Stock · 6,393 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.

SEC source: 0001062993-23-011626 · 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: 7,123

Underlying: Common Stock · 7,123 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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

SEC source: 0001062993-23-011625 · 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: 18,265

Underlying: Common Stock · 18,265 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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

SEC source: 0001062993-23-011624 · form4.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,123

Underlying: Common Stock · 7,123 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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

SEC source: 0001062993-23-011622 · 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: 7,123

Underlying: Common Stock · 7,123 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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

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 one-third on each of 5/17/2024, 5/17/2025 and 5/17/2026.

SEC source: 0001062993-23-012767 · 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: 50,663

F1 · shares: Shares forfeited under the terms of Mr. Smith's June 9, 2020 performance-vested restricted stock award.

SEC source: 0001062993-23-004265 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,999

SEC source: 0001062993-22-017400 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,191

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.75 to $7.85, inclusive. Mr. Thoren undertakes to provide Graham Corporation, any security holder of Graham Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes 2,009 shares acquired under the Graham Corporation Employee Stock Purchase Plan.

SEC source: 0001062993-22-017213 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,682

SEC source: 0001062993-22-014670 · form4.xml · nonDerivative · entry 3

Condame Jennifer R · CIK 0001441494 · CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,652

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

SEC source: 0001062993-22-014669 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,999

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

SEC source: 0001062993-22-014670 · form4.xml · nonDerivative · entry 2

Condame Jennifer R · CIK 0001441494 · CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,913

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

SEC source: 0001062993-22-014669 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,759

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

SEC source: 0001062993-22-014670 · form4.xml · nonDerivative · entry 1

Condame Jennifer R · CIK 0001441494 · CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,161

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

SEC source: 0001062993-22-014669 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,481

F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

SEC source: 0001062993-22-013391 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,420

Underlying: Common Stock · 24,420 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries of the date of grant.

SEC source: 0001062993-22-013395 · form4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,315

Underlying: Common Stock · 18,315 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 third anniversary of the date of grant.

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 third anniversary of the date of grant.

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 third anniversary of the date of grant.

SEC source: 0001062993-22-013395 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,158

Underlying: Common Stock · 9,158 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries of the date of grant.

SEC source: 0001062993-22-013394 · form4.xml · derivative · entry 2

Condame Jennifer R · CIK 0001441494 · CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,487

Underlying: Common Stock · 4,487 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries of the date of grant.

SEC source: 0001062993-22-013393 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,852

Underlying: Common Stock · 8,852 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries of the date of grant.

SEC source: 0001062993-22-013392 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,158

Underlying: Common Stock · 9,158 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries 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 one-third on each of the first three anniversaries of the date of grant.

SEC source: 0001062993-22-013390 · form4.xml · derivative · entry 2

Stoner Troy A. · CIK 0001916970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,105

Underlying: Common Stock · 6,105 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.

SEC source: 0001062993-22-013389 · form4.xml · derivative · entry 2

Schnorr Lisa M. · CIK 0001615574 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,105

Underlying: Common Stock · 6,105 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.

SEC source: 0001062993-22-013387 · form4.xml · derivative · entry 2

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,105

Underlying: Common Stock · 6,105 shares

Expires not disclosed

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.

SEC source: 0001062993-22-013388 · form4.xml · derivative · entry 2

PAINTER JONATHAN W · CIK 0001247567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,105

Underlying: Common Stock · 6,105 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.

SEC source: 0001062993-22-013386 · form4.xml · derivative · entry 2

Barber James J · CIK 0001377811 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,105

Underlying: Common Stock · 6,105 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.

SEC source: 0001062993-22-013385 · form4.xml · derivative · entry 2

Fortier Alan · CIK 0001441495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,105

Underlying: Common Stock · 6,105 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.

SEC source: 0001062993-22-011666 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,007

F1 · shares: Shares forfeited under the terms of Mr. Smith's May 29, 2019 performance-vested restricted stock award.

SEC source: 0001062993-22-011665 · form4.xml · nonDerivative · entry 1

Condame Jennifer R · CIK 0001441494 · CAO and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,342

F1 · shares: Shares forfeited under the terms of Ms. Condame's May 29, 2019 performance-vested restricted stock award.

SEC source: 0001062993-22-010803 · form4.xml · nonDerivative · entry 3

Glajch Jeffrey · CIK 0001457678 · VP-Finance; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,155

F3 · shares: Shares forfeited related to Mr. Glajch's June 1, 2021 time-vesting restricted stock award.

SEC source: 0001062993-22-010803 · form4.xml · nonDerivative · entry 2

Glajch Jeffrey · CIK 0001457678 · VP-Finance; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,621

F2 · shares: Shares forfeited related to Mr. Glajch's June 9, 2020 time-vesting restricted stock award.

SEC source: 0001062993-22-010803 · form4.xml · nonDerivative · entry 1

Glajch Jeffrey · CIK 0001457678 · VP-Finance; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,460

F1 · shares: Shares forfeited related to Mr. Glajch's May 29, 2019 time-vesting restricted stock award.

SEC source: 0001062993-22-008505 · form4.xml · nonDerivative · entry 1

Jaroslawsky Cari L · CIK 0001336522 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,235

F1 · kind: This restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and vests on the first anniversary of the grant date.

F1 · shares: This restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and vests on the first anniversary of the grant date.