GRAHAM CORP — Director's Dealing 2021

Jun 2, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: GRAHAM CORP (GHM)
CIK: 0000716314
Period of Report: 2021-03-31

Reporting Person: Smith Alan E (VP & General Manager - Batavia)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-31	Common Stock	D	2387	—	Disposed	43007	Direct
2021-03-31	Common Stock	D	3156	—	Disposed	39851	Direct
2021-05-29	Common Stock	F	526	$14.69	Disposed	39325	Direct
2021-05-30	Common Stock	F	398	$14.69	Disposed	38927	Direct
2021-06-01	Common Stock	A	4332	—	Acquired	43259	Direct
2021-06-01	Common Stock	A	8664	—	Acquired	51923	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$18.65	2022-05-30	Common Stock (6059)	6059	Direct

Footnotes

F1: Shares forfeited under the terms of Mr. Smith's May 30, 2018 performance-vested restricted stock award.

F2: Shares forfeited under the terms of Mr. Smith's May 29, 2019 performance-vested restricted stock award.

F3: Shares withheld to cover tax withholding obligations upon the vesting of a restricted stock award.

F4: This time-vested restricted stock award was granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3.

F5: 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.