08/18/2025 | Press release | Distributed by Public on 08/18/2025 18:18
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (2) | 08/15/2025 | M | 52,500(1) | (1) | (1) | Class A Common Stock | 52,500 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pollock Frederick C/O GCM GROSVENOR INC. 900 NORTH MICHIGAN AVENUE, SUITE 1100 CHICAGO, IL 60611 |
Chief Investment Officer |
/s/ Burke Montgomery, Attorney-in-Fact | 08/18/2025 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents restricted stock units ("RSUs") that were granted under the Issuer's Amended and Restated 2020 Incentive Award Plan on March 1, 2025, and vested in full on August 15, 2025. Shares of Class A common stock of the Issuer were delivered to the Reporting Person in settlement of vested RSUs on August 15, 2025. |
(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 August 15, 2025. 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. |