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Graham Corp (GHM) awards new restricted stock units to growth executive

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

Rhea-AI Filing Summary

Scholes Richard Alan reported acquisition or exercise transactions in this Form 4 filing.

Graham Corp reported that Chief Growth & Enblmnt Officer Richard Alan Scholes received two equity awards of 3,678 and 1,563 Restricted Stock Units, each convertible into common stock on a one-for-one basis. These RSUs vest in three equal installments on August 10, 2027, August 10, 2028, and August 10, 2029.

Positive

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Negative

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Insider Scholes Richard Alan
Role Chief Growth & Enblmnt Officer
Type Security Shares Price Value
Grant/Award Restricted Stock Units F1 3,678 $0.00 $0.00
Grant/Award Restricted Stock Units F1 1,563 $0.00 $0.00
Holdings After Transaction: Restricted Stock Units — 5,241 shares (Direct)
Footnotes (1)
  1. F1. 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 8/10/2027, 8/10/2028 and 8/10/2029.
RSU grant 1 3,678 Restricted Stock Units Granted to Chief Growth & Enblmnt Officer on August 10, 2026
RSU grant 2 1,563 Restricted Stock Units Granted to Chief Growth & Enblmnt Officer on August 10, 2026
Vesting dates August 10, 2027; August 10, 2028; August 10, 2029 Each RSU grant vests one-third on each listed date
Conversion ratio 1 RSU : 1 common share Restricted stock units convert into common stock on a one-for-one basis
Exercise price $0.0000 per unit Conversion or exercise price for each Restricted Stock Unit
Restricted Stock Units financial
"These restricted stock units, which convert into common stock on a one-for-one basis"
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 Graham Corporation Equity Incentive Plan financial
"were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction"
Rule 16b-3 regulatory
"were granted under the 2020 Graham Corporation Equity Incentive Plan in a transaction exempt under Rule 16b-3"
Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

FAQ

What insider equity awards were reported at GRAHAM CORP (GHM)?
Richard Alan Scholes received two grants of Restricted Stock Units totaling 3,678 and 1,563 units. Each RSU converts into one share of common stock under the company’s 2020 Equity Incentive Plan.

Who received the new Restricted Stock Units at GHM and in what role?
The recipient is Richard Alan Scholes, GRAHAM CORP’s Chief Growth & Enblmnt Officer. The awards represent stock-based compensation tied to his executive position at the company.

How many Restricted Stock Units did the GHM executive receive on August 10, 2026?
On August 10, 2026, Richard Alan Scholes was granted 3,678 and 1,563 Restricted Stock Units. Each unit is designed to convert into one share of GRAHAM CORP common stock upon vesting.

What is the vesting schedule for the new GHM Restricted Stock Units?
The RSUs vest in three equal installments on August 10, 2027, August 10, 2028, and August 10, 2029. Vesting is subject to the terms of the award notice and the 2020 Equity Incentive Plan.

Under what plan were the GHM Restricted Stock Units granted?
The RSUs were granted under the 2020 Graham Corporation Equity Incentive Plan. The transaction is described as exempt under Rule 16b-3, which governs certain insider compensation-related transactions.

Do the GHM Restricted Stock Units have an exercise price?
The RSUs carry a $0.0000 conversion or exercise price, reflecting that they are stock units, not options. Upon vesting, each unit converts into one share of common stock without additional payment.

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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*
Scholes Richard Alan
(Last)(First)(Middle)
C/O GRAHAM CORPORATION
20 FLORENCE AVENUE
(Street)
BATAVIA NEW YORK 14020
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
GRAHAM CORP [ GHM ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Growth & Enblmnt Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026		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
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$0(1)08/10/2026A3,678 (1) (1)Common Stock3,678$03,678D
Restricted Stock Units$0(1)08/10/2026A1,563 (1) (1)Common Stock1,563$01,563D
Explanation of Responses:
1. 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 8/10/2027, 8/10/2028 and 8/10/2029.
/s/ Christina McLeod, Attorney-in-Fact for Richard A. Scholes08/11/2026
** 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