Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GRAHAM CORPGHM · Entity 1960 | VP & General Manager - Batavia | June 09, 2025 | June 11, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GRAHAM CORP
Report date June 09, 2025 · Filed June 11, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 66,634 |
Ending reported balance
After 2025-06-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-06-09 · Grant · Acquired 7,693 · Balance 70,253 F1: These shares were awarded to Mr. Smith upon the vesting of performance-based restricted stock units granted to him under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. The shares underlying this award vested after three years based on the Company's achievement on certain pre-determined performance measures over the eligible three-year period that ended on 3/31/2025. Row 2 · 2025-06-09 · Tax withholding · Disposed 3,619 · Balance 66,634 F2: Shares withheld to cover tax withholding obligations upon the vesting of performance-based restricted stock units. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,582 |
Reported balance
Holding disclosure · report date 2025-06-09 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 2,582 F3: These restricted stock units, which convert into common stock on a one-for-one basis, vest in substantially equal installments on each of 6/4/2026 and 6/4/2027, except as otherwise provided in the award notice. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,375 |
Reported balance
Holding disclosure · report date 2025-06-09 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 2,375 F4: These restricted stock units, which convert into common stock on a one-for-one basis, vest on 5/17/2026, except as otherwise provided in the award notice. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,591 |
Reported balance
Holding disclosure · report date 2025-06-09 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 2,591 F5: These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028, except as otherwise provided in the award notice. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were awarded to Mr. Smith upon the vesting of performance-based restricted stock units granted to him under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. The shares underlying this award vested after three years based on the Company's achievement on certain pre-determined performance measures over the eligible three-year period that ended on 3/31/2025.
F2: Shares withheld to cover tax withholding obligations upon the vesting of performance-based restricted stock units.
F3: These restricted stock units, which convert into common stock on a one-for-one basis, vest in substantially equal installments on each of 6/4/2026 and 6/4/2027, except as otherwise provided in the award notice.
F4: These restricted stock units, which convert into common stock on a one-for-one basis, vest on 5/17/2026, except as otherwise provided in the award notice.
F5: These restricted stock units, which convert into common stock on a one-for-one basis, vest one-third on each of 6/2/2026, 6/2/2027 and 6/2/2028, except as otherwise provided in the award notice.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 09, 2025 Filed Jun 11, 2025 20:29 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 3,619 | $44.66 | $161,624.54 |
DisclosureSEC source: 0001062993-25-011405 · 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: 66,634 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of performance-based restricted stock units. Read SEC document |
| June 09, 2025 Filed Jun 11, 2025 20:29 UTC | GRAHAM CORP GHM · Entity 1960 | GrantCommon Stock | 7,693 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-011405 · 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: 70,253 F1 · shares: These shares were awarded to Mr. Smith upon the vesting of performance-based restricted stock units granted to him under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. The shares underlying this award vested after three years based on the Company's achievement on certain pre-determined performance measures over the eligible three-year period that ended on 3/31/2025. Read SEC document |
| June 04, 2025 Filed Jun 5, 2025 21:55 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 1,291 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-011069 · 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: 2,582 Underlying: Common Stock · 1,291 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: One-third of the original grant of these restricted stock units vested on 6/4/2025, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 6/4/2026 and 6/4/2027. F3 · derivative.expiration_date: One-third of the original grant of these restricted stock units vested on 6/4/2025, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 6/4/2026 and 6/4/2027. Read SEC document |
| June 04, 2025 Filed Jun 5, 2025 21:55 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 607 | $40.89 | $24,820.23 |
DisclosureSEC source: 0001062993-25-011069 · 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: 62,560 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units. Read SEC document |
| June 04, 2025 Filed Jun 5, 2025 21:55 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 1,291 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-011069 · 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: 63,167 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 |
| June 02, 2025 Filed Jun 4, 2025 20:25 UTC | GRAHAM CORP GHM · Entity 1960 | GrantRestricted Stock Units · Derivative | 2,591 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 |
| May 23, 2025 Filed May 27, 2025 20:30 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 18,315 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 3,053 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 8,617 | $36.79 | $317,019.43 |
DisclosureSEC 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 | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 18,315 | $0.00 | $0.00 |
DisclosureSEC 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 | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 1,436 | $36.79 | $52,830.44 |
DisclosureSEC 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 | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 3,053 | $0.00 | $0.00 |
DisclosureSEC 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 17, 2025 Filed May 20, 2025 20:30 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 2,374 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 17, 2025 Filed May 20, 2025 20:30 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 1,164 | $37.29 | $43,405.56 |
DisclosureSEC 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 | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 2,374 | $0.00 | $0.00 |
DisclosureSEC 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 |
| June 04, 2024 Filed Jun 6, 2024 20:34 UTC | GRAHAM CORP GHM · Entity 1960 | GrantRestricted Stock Units · Derivative | 3,873 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 01, 2024 Filed Jun 4, 2024 20:30 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 3,123 | $27.05 | $84,477.15 |
DisclosureSEC 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 |
| June 01, 2024 Filed Jun 4, 2024 20:30 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 520 | $27.05 | $14,066.00 |
DisclosureSEC source: 0001062993-24-011828 · 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: 52,474 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 |
| May 23, 2024 Filed May 28, 2024 20:33 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 3,053 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-011347 · 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: 3,053 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: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/23/2023 and 5/23/2024, and except as otherwise provided in the award notice, the balance vests on 5/23/2025. F3 · derivative.expiration_date: Two-thirds of the original grant of these restricted stock units vested in substantially equal installments on each of 5/23/2023 and 5/23/2024, and except as otherwise provided in the award notice, the balance vests on 5/23/2025. Read SEC document |
| May 23, 2024 Filed May 28, 2024 20:33 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 1,096 | $28.44 | $31,170.24 |
DisclosureSEC source: 0001062993-24-011347 · 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: 52,994 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units. Read SEC document |
| May 23, 2024 Filed May 28, 2024 20:33 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 3,053 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-011347 · 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: 54,090 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, 2024 Filed May 21, 2024 20:34 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 2,374 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-010893 · 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: 4,749 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: One-third of the original grant of these restricted stock units vested on 5/17/2024, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 5/17/2025 and 5/17/2026. F3 · derivative.expiration_date: One-third of the original grant of these restricted stock units vested on 5/17/2024, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 5/17/2025 and 5/17/2026. Read SEC document |
| May 17, 2024 Filed May 21, 2024 20:34 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 945 | $29.12 | $27,518.40 |
DisclosureSEC source: 0001062993-24-010893 · 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: 51,037 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units. Read SEC document |
| May 17, 2024 Filed May 21, 2024 20:34 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 2,374 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-010893 · 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: 51,982 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 |
| June 09, 2023 Filed Jun 12, 2023 20:30 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 548 | $13.00 | $7,124.00 |
DisclosureSEC source: 0001062993-23-013357 · 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: 49,608 F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Read SEC document |
| June 01, 2023 Filed Jun 2, 2023 20:34 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 507 | $11.04 | $5,597.28 |
DisclosureSEC source: 0001062993-23-012767 · 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: 50,156 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Read SEC document |
| May 23, 2023 Filed May 24, 2023 20:44 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionRestricted Stock Units · Derivative | 3,052 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-012065 · 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: 6,106 Underlying: Common Stock · 3,052 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: One-third of the original grant of these restricted stock units vested on May 23, 2023, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 5/23/2024 and 5/23/2025. F3 · derivative.expiration_date: One-third of the original grant of these restricted stock units vested on May 23, 2023, and except as otherwise provided in the award notice, the balance vests in substantially equal installments on 5/23/2024 and 5/23/2025. Read SEC document |
| May 23, 2023 Filed May 24, 2023 20:44 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 1,262 | $11.78 | $14,866.36 |
DisclosureSEC source: 0001062993-23-012065 · 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: 59,789 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of restricted stock units. Read SEC document |
| May 23, 2023 Filed May 24, 2023 20:44 UTC | GRAHAM CORP GHM · Entity 1960 | Exercise / conversionCommon Stock | 3,052 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-23-012065 · 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: 61,051 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, 2023 Filed May 18, 2023 20:32 UTC | GRAHAM CORP GHM · Entity 1960 | GrantRestricted Stock Units · Derivative | 7,123 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 17, 2023 Filed Jun 2, 2023 20:34 UTC | GRAHAM CORP GHM · Entity 1960 | Disposition to issuerCommon Stock | 9,126 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 21, 2023 Filed Feb 21, 2023 21:47 UTC | GRAHAM CORP GHM · Entity 1960 | PurchaseCommon Stock | 4,000 | $13.53 | $54,120.00 |
DisclosureSEC 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 Read SEC document |
| June 09, 2022 Filed Jun 10, 2022 20:32 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 760 | $9.02 | $6,855.20 |
DisclosureSEC 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. Read SEC document |
| June 01, 2022 Filed Jun 10, 2022 20:32 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 722 | $7.38 | $5,328.36 |
DisclosureSEC 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. Read SEC document |
| May 29, 2022 Filed Jun 10, 2022 20:32 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 526 | $7.32 | $3,850.32 |
DisclosureSEC 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. Read SEC document |
| May 23, 2022 Filed May 24, 2022 21:06 UTC | GRAHAM CORP GHM · Entity 1960 | GrantRestricted Stock Units · Derivative | 18,315 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 23, 2022 Filed May 24, 2022 21:06 UTC | GRAHAM CORP GHM · Entity 1960 | GrantRestricted Stock Units · Derivative | 9,158 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 05, 2022 Filed May 5, 2022 20:38 UTC | GRAHAM CORP GHM · Entity 1960 | Disposition to issuerCommon Stock | 3,156 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 10, 2022 Filed Feb 11, 2022 20:02 UTC | GRAHAM CORP GHM · Entity 1960 | PurchaseCommon Stock | 8,000 | $9.10 | $72,800.00 |
DisclosureSEC source: 0001062993-22-003733 · form4.xml · nonDerivative · entry 1 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,163 Read SEC document |
| June 09, 2021 Filed Jun 10, 2021 20:16 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 760 | $14.17 | $10,769.20 |
DisclosureSEC source: 0000891839-21-000210 · edgar.xml · nonDerivative · entry 1 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,163 F1 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Read SEC document |
| June 01, 2021 Filed Jun 2, 2021 20:57 UTC | GRAHAM CORP GHM · Entity 1960 | GrantCommon Stock | 8,664 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-21-000190 · edgar.xml · nonDerivative · entry 6 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,923 F5 · kind: This performance-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria. F5 · shares: This performance-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria. Read SEC document |
| June 01, 2021 Filed Jun 2, 2021 20:57 UTC | GRAHAM CORP GHM · Entity 1960 | GrantCommon Stock | 4,332 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-21-000190 · edgar.xml · nonDerivative · entry 5 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,259 F4 · kind: This time-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. F4 · shares: This time-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3. Read SEC document |
| May 30, 2021 Filed Jun 2, 2021 20:57 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 398 | $14.69 | $5,846.62 |
DisclosureSEC source: 0000891839-21-000190 · edgar.xml · nonDerivative · entry 4 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,927 F3 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Read SEC document |
| May 29, 2021 Filed Jun 2, 2021 20:57 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 526 | $14.69 | $7,726.94 |
DisclosureSEC source: 0000891839-21-000190 · edgar.xml · nonDerivative · entry 3 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,325 F3 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:17 UTC | GRAHAM CORP GHM · Entity 1960 | Tax withholdingCommon Stock | 388 | $15.22 | $5,905.36 |
DisclosureSEC source: 0000891839-21-000152 · edgar.xml · nonDerivative · entry 2 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,394 F2 · shares: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:17 UTC | GRAHAM CORP GHM · Entity 1960 | Disposition to issuerCommon Stock | 1,611 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-21-000152 · edgar.xml · nonDerivative · entry 1 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,782 F1 · shares: Shares forfeited under the terms of Mr. Smith's May 30, 2018 performance-vested restricted stock award. Read SEC document |
| March 31, 2021 Filed Jun 2, 2021 20:57 UTC | GRAHAM CORP GHM · Entity 1960 | Disposition to issuerCommon Stock | 3,156 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-21-000190 · edgar.xml · nonDerivative · entry 2 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,851 F2 · shares: Shares forfeited under the terms of Mr. Smith's May 29, 2019 performance-vested restricted stock award. Read SEC document |
| March 31, 2021 Filed Jun 2, 2021 20:57 UTC | GRAHAM CORP GHM · Entity 1960 | Disposition to issuerCommon Stock | 2,387 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-21-000190 · edgar.xml · nonDerivative · entry 1 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,007 F1 · shares: Shares forfeited under the terms of Mr. Smith's May 30, 2018 performance-vested restricted stock award. Read SEC document |
| June 09, 2020 Filed Jun 10, 2020 20:37 UTC | GRAHAM CORP GHM · Entity 1960 | GrantCommon Stock | 9,126 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-20-000177 · edgar.xml · nonDerivative · entry 2 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,393 F2 · kind: This performance-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria. F2 · shares: This performance-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. The number of shares reported assumes maximum achievement of the performance criteria. Read SEC document |
| June 09, 2020 Filed Jun 10, 2020 20:37 UTC | GRAHAM CORP GHM · Entity 1960 | GrantCommon Stock | 4,563 | $0.00 | $0.00 |
DisclosureSEC source: 0000891839-20-000177 · edgar.xml · nonDerivative · entry 1 Smith Alan E · CIK 0001408288 · VP & General Manager - Batavia 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,267 F1 · kind: This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3. F1 · shares: This time-vested restricted stock award was granted under the Amended and Restated 2000 Graham Corporation Incentive Plan to Increase Shareholder Value in a transaction exempt under Rule 16b-3. 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.