GCM Grosvenor (GCMG) CIO settles 25,000 RSUs, 9,838 shares withheld for taxes

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

GCM Grosvenor Inc. Chief Investment Officer Frederick Pollock reported routine equity compensation activity involving restricted stock units (RSUs). On May 31, 2026, 25,000 RSUs converted into 25,000 shares of Class A Common Stock under the company’s 2020 Incentive Award Plan.

The company withheld 9,838 shares at a value of $10.63 per share to cover tax obligations related to this vesting, which the filing specifies was not an open-market sale. After these transactions, Pollock directly held 776,272 shares of Class A Common Stock.

Insider Trade Summary

25,000 shares exercised/converted

Mixed 3 txns

Insider Pollock Frederick

Role Chief Investment Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	25,000	$0.00	--
Exercise	Class A Common Stock	25,000	$0.00	--
Tax Withholding	Class A Common Stock	9,838	$10.63	$105K

Holdings After Transaction: Restricted Stock Units — 0 shares (Direct, null); Class A Common Stock — 786,110 shares (Direct, null)

Footnotes (1)

Represents restricted stock units ("RSUs") that were granted under the Issuer's 2020 Incentive Award Plan on March 1, 2023. 25,000 RSUs vested on May 31, 2024, 25,000 RSUs vested on May 31, 2025 and 25,000 RSUs vested on May 31, 2026. 25,000 shares of Class A Common Stock of the Issuer were delivered to the Reporting Person in settlement of 25,000 vested RSUs on May 31, 2026. Each RSU represents the contingent right to receive one share of Class A Common Stock of the Issuer. Represents shares of Class A Common Stock that have been withheld by the Issuer to satisfy tax withholding obligations in connection with the net settlement of RSUs that vested on May 31, 2026. The shares withheld represent a reduction of shares issued to the Reporting Person upon settlement of vested RSUs and do not constitute any open-market sale.

Key Figures

RSUs converted: 25,000 units Shares issued from RSUs: 25,000 shares Shares withheld for taxes: 9,838 shares +3 more

6 metrics

RSUs converted 25,000 units RSUs vested and settled into Class A Common on May 31, 2026

Shares issued from RSUs 25,000 shares Class A Common Stock delivered upon RSU settlement

Shares withheld for taxes 9,838 shares Withheld to satisfy tax obligations on RSU vesting

Withholding reference price $10.63 per share Value used for tax-withholding share reduction

Shares held after transactions 776,272 shares Direct Class A Common holdings following RSU vesting and withholding

Tax-withholding shares count 9,838 shares Recorded as disposition code F, not open-market sale

Key Terms

Restricted Stock Units, 2020 Incentive Award Plan, tax withholding obligations, net settlement of RSUs, +1 more

5 terms

Restricted Stock Units financial

"Represents restricted stock units ("RSUs") that were granted under the Issuer's 2020 Incentive Award Plan"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

2020 Incentive Award Plan financial

"RSUs that were granted under the Issuer's 2020 Incentive Award Plan on March 1, 2023"

tax withholding obligations financial

"shares of Class A Common Stock that have been withheld by the Issuer to satisfy tax withholding obligations"

net settlement of RSUs financial

"in connection with the net settlement of RSUs that vested on May 31, 2026"

open-market sale financial

"do not constitute any open-market sale"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

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Form 4 Insider Transactions: What Each Field Means →

06/02/2026 - 05:56 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Pollock Frederick

(Last)

(First)

(Middle)

C/O GCM GROSVENOR INC.

900 NORTH MICHIGAN AVENUE, SUITE 1100

(Street)

CHICAGO

ILLINOIS

60611

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
GCM Grosvenor Inc. [ GCMG ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Investment Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/31/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	05/31/2026		M⁽¹⁾		25,000	A	⁽²⁾	786,110	D
Class A Common Stock	05/31/2026		F		9,838⁽³⁾	D	$10.63	776,272	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽²⁾	05/31/2026		M			25,000	⁽¹⁾	⁽¹⁾	Class A Common Stock	25,000	$0	0	D

Explanation of Responses:

1. Represents restricted stock units ("RSUs") that were granted under the Issuer's 2020 Incentive Award Plan on March 1, 2023. 25,000 RSUs vested on May 31, 2024, 25,000 RSUs vested on May 31, 2025 and 25,000 RSUs vested on May 31, 2026. 25,000 shares of Class A Common Stock of the Issuer were delivered to the Reporting Person in settlement of 25,000 vested RSUs on May 31, 2026.

2. Each RSU represents the contingent right to receive one share of Class A Common Stock of the Issuer.

3. Represents shares of Class A Common Stock that have been withheld by the Issuer to satisfy tax withholding obligations in connection with the net settlement of RSUs that vested on May 31, 2026. The shares withheld represent a reduction of shares issued to the Reporting Person upon settlement of vested RSUs and do not constitute any open-market sale.

Remarks:

	/s/ Burke Montgomery, Attorney-in-Fact	06/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did GCMG executive Frederick Pollock report?

Frederick Pollock reported RSU vesting that converted 25,000 restricted stock units into 25,000 Class A Common shares. The event stems from equity awards under GCM Grosvenor’s 2020 Incentive Award Plan and reflects routine compensation rather than an open-market stock purchase or sale.

How many GCMG shares did Frederick Pollock receive from RSU vesting?

Pollock received 25,000 shares of GCM Grosvenor Class A Common Stock upon vesting and settlement of 25,000 RSUs on May 31, 2026. Each RSU represented the right to receive one share, so the vesting translated directly into an equal number of common shares.

Were any of Frederick Pollock’s GCMG shares sold on the open market?

The filing states no open-market sale occurred. Instead, 9,838 shares were withheld by GCM Grosvenor to satisfy tax withholding obligations tied to the RSU vesting, reducing the shares issued but not representing a market transaction or discretionary stock sale.

How many GCMG shares were withheld for Frederick Pollock’s taxes?

GCM Grosvenor withheld 9,838 Class A Common shares at $10.63 per share to cover Pollock’s tax obligations from the RSU settlement. These withheld shares are treated as a reduction in shares issued to him, rather than a sale into the open market or a discretionary trade.

What is Frederick Pollock’s GCMG shareholding after these transactions?

Following the RSU conversion and tax withholding, Pollock directly held 776,272 shares of GCM Grosvenor Class A Common Stock. This figure reflects his position after 25,000 RSUs vested, corresponding shares were issued, and 9,838 shares were withheld to satisfy related tax liabilities.

How were Frederick Pollock’s RSUs under GCMG’s 2020 Incentive Award Plan structured?

The RSU award totaled 75,000 units granted on March 1, 2023, vesting in three equal tranches of 25,000 on May 31, 2024, May 31, 2025, and May 31, 2026. Each vested RSU entitled Pollock to receive one share of Class A Common Stock upon settlement.