James R. Lines - Mar 31, 2021 Form 4 Insider Report for GRAHAM CORP (GHM)

Role
Chief Executive Officer, Director
Signature
/s/ Jennifer R. Condame, Attorney-in-Fact for James R. Lines
Stock symbol
GHM
Transactions as of
Mar 31, 2021
Transactions value $
$0
Form type
4
Date filed
6/2/2021, 04:56 PM
Next filing
May 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GHM Common Stock Disposed to Issuer $0 -5.81K -3.52% $0.00 160K Mar 31, 2021 Direct F1
transaction GHM Common Stock Disposed to Issuer $0 -9.8K -6.15% $0.00 150K Mar 31, 2021 Direct F2
transaction GHM Common Stock Award $0 +13.1K +8.72% $0.00 163K Jun 1, 2021 Direct F3
transaction GHM Common Stock Award $0 +26.1K +16.05% $0.00 189K Jun 1, 2021 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding GHM Stock Option (Right to Buy) 10.9K Mar 31, 2021 Common Stock 10.9K $18.65 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares forfeited under the terms of Mr. Lines' May 30, 2018 performance-vested restricted stock award.
F2 Shares forfeited under the terms of Mr. Lines' May 29, 2019 performance-vested restricted stock award.
F3 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 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.