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GCM Grosvenor (NASDAQ: GCMG) officer nets RSU shares, 9,474 withheld for tax

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

GCM Grosvenor Inc. Principal Accounting Officer Kathleen Patricia Sullivan reported routine equity compensation activity involving restricted stock units. On April 15, 2026 she exercised 7,976 restricted stock units, each convertible into one share of Class A Common Stock, and received the same number of shares.

To cover tax withholding obligations from the vesting and settlement of RSUs on April 15, 2026, 9,474 shares of Class A Common Stock were withheld by the company at a value of $10.88 per share, which the disclosure notes was not an open-market sale. After these transactions, she directly holds 68,506 shares of Class A Common Stock.

Positive

  • None.

Negative

  • None.
Insider SULLIVAN KATHLEEN PATRICIA
Role Principal Accounting Officer
Type Security Shares Price Value
Exercise Restricted Stock Units 7,976 $0.00 --
Exercise Class A Common Stock 7,976 $0.00 --
Tax Withholding Class A Common Stock 9,474 $10.88 $103K
Holdings After Transaction: Restricted Stock Units — 0 shares (Direct); Class A Common Stock — 77,980 shares (Direct)
Footnotes (1)
  1. Represents Restricted Stock Units ("RSUs") that were granted under the Issuer's Amended and Restated 2020 Incentive Award Plan on January 15, 2026, vested in full on April 15, 2026 and were settled in full on April 15, 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 withheld by the Issuer to satisfy tax withholding obligations in connection with the net settlement of vested RSUs on April 15, 2026. The share withholding for tax withholding obligations does not constitute any open-market sale.
RSUs exercised 7,976 units Restricted Stock Units converted to Class A Common Stock on April 15, 2026
Shares withheld for tax 9,474 shares Class A Common Stock withheld to satisfy tax obligations on April 15, 2026
Withholding price $10.88 per share Value applied to 9,474 withheld shares for tax withholding
Post-transaction holdings 68,506 shares Class A Common Stock directly owned by Kathleen Sullivan after transactions
RSU grant date January 15, 2026 Grant date of RSUs under Amended and Restated 2020 Incentive Award Plan
RSU vesting date April 15, 2026 Date RSUs vested and were settled into Class A Common Stock
Restricted Stock Units financial
"Represents Restricted Stock Units ("RSUs") that were granted under the Issuer's Amended and Restated 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.
Amended and Restated 2020 Incentive Award Plan financial
"were granted under the Issuer's Amended and Restated 2020 Incentive Award Plan on January 15, 2026"
net settlement financial
"in connection with the net settlement of vested RSUs on April 15, 2026"
tax withholding obligations financial
"withheld by the Issuer to satisfy tax withholding obligations in connection with the net settlement"
contingent right financial
"Each RSU represents the contingent right to receive one share of Class A Common Stock"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
SULLIVAN KATHLEEN PATRICIA
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Principal Accounting Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/15/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Class A Common Stock04/15/2026M(1)7,976A(2)77,980D
Class A Common Stock04/15/2026F(3)9,474D$10.8868,506D
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(2)04/15/2026M(1)7,976 (1) (1)Class A Common Stock7,976$00D
Explanation of Responses:
1. Represents Restricted Stock Units ("RSUs") that were granted under the Issuer's Amended and Restated 2020 Incentive Award Plan on January 15, 2026, vested in full on April 15, 2026 and were settled in full on April 15, 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 withheld by the Issuer to satisfy tax withholding obligations in connection with the net settlement of vested RSUs on April 15, 2026. The share withholding for tax withholding obligations does not constitute any open-market sale.
Remarks:
/s/ Burke Montgomery, Attorney-in-Fact04/17/2026
** Signature of Reporting PersonDate
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 Principal Accounting Officer Kathleen Sullivan report?

Kathleen Sullivan reported exercising 7,976 restricted stock units into Class A Common Stock. The RSUs vested and were settled on April 15, 2026 as part of equity compensation under GCM Grosvenor’s 2020 incentive plan, increasing her direct share ownership in the company.

Were there any open-market stock sales by GCMG insider Kathleen Sullivan?

No open-market sales occurred. The filing states 9,474 shares of Class A Common Stock were withheld by GCM Grosvenor to satisfy tax withholding obligations on vested RSUs, and explicitly clarifies this share withholding does not constitute any open-market sale of stock.

How many GCMG shares does Kathleen Sullivan own after these Form 4 transactions?

Following the reported RSU exercise and tax withholding, Kathleen Sullivan directly owns 68,506 shares of GCM Grosvenor Class A Common Stock. This figure reflects her position after receiving shares from vested RSUs and the separate withholding of shares to satisfy related tax obligations.

What restricted stock unit activity did GCMG disclose for Kathleen Sullivan?

GCMG disclosed that 7,976 restricted stock units granted on January 15, 2026 under its Amended and Restated 2020 Incentive Award Plan vested in full on April 15, 2026 and were settled the same day, delivering an equal number of Class A Common Stock shares to Kathleen Sullivan.

At what price were GCMG shares withheld for Kathleen Sullivan’s tax obligations?

The company withheld 9,474 shares of GCM Grosvenor Class A Common Stock at $10.88 per share. These shares were used solely to satisfy tax withholding obligations arising from the net settlement of vested RSUs on April 15, 2026, rather than being sold in the open market.