SULLIVAN KATHLEEN PATRICIA 4

4 · GCM Grosvenor Inc. · Filed Mar 3, 2026

AI-generated summary of this filing

Updated Mar 3, 2026

GCM Grosvenor (GCMG) Kathleen Sullivan Receives RSU Award; 13,409 Settled

What Happened

Kathleen Patricia Sullivan, Principal Accounting Officer of GCM Grosvenor (GCMG), had RSU activity reported on 2026-03-01. The filing shows conversion/exercise of 13,409 derivative units (M) and a simultaneous disposition of 13,409 derivative shares at $0 (no cash proceeds), and a new grant/award of 30,435 RSUs (A) at $0.
The reported transactions involve restricted stock units (RSUs) rather than open‑market purchases or ordinary‑course sales. No cash changed hands in the reported disposition(s); total reported proceeds are $0.

Key Details

Transaction date(s): March 1, 2026; Form 4 filed March 3, 2026 (appears timely).
Reported items:
- 13,409 — exercise/conversion of derivative (M) (acquired) — price N/A
- 13,409 — exercise/conversion of derivative (M) (disposed) — $0 (derivative)
- 30,435 — grant/award of RSUs (A) — $0 (derivative)
Footnotes from the filing:
- F1: Each RSU equals the contingent right to one Class A share.
- F2: The 13,409 RSUs stem from a Nov 15, 2025 grant that vested in full on Mar 1, 2026; delivery of shares may occur on the award delivery date or the issuer may elect cash or mixed settlement.
- F3: The 30,435 RSU grant was made on Mar 1, 2026 and vests in three equal installments on May 15, 2027 / 2028 / 2029, subject to continued service.
Shares owned after transaction: not specified in the provided excerpt.

Context

These entries reflect RSU vesting/settlement and a new RSU grant, not an open‑market buy or sale. The equal acquired/disposed 13,409 entries at zero cash are consistent with RSU settlement mechanics (for example, shares converted and an equal number withheld/retired for taxes), but the Form 4 footnotes simply describe vesting and delivery/settlement terms—no cash sale is reported.
For retail investors: awards and vesting are common compensation events and do not necessarily indicate the insider is buying or selling based on company outlook.

Form 4

Period: 2026-03-01

Principal Accounting Officer

Transactions

Exercise/Conversion
Class A Common Stock
[F1]
2026-03-01+13,409→ 71,604 total
Exercise/Conversion
Restricted Stock Units
[F1][F2]
2026-03-01−13,409→ 0 total
→ Class A Common Stock (13,409 underlying)
Award
Restricted Stock Units
[F1][F3]
2026-03-01+30,435→ 30,435 total
→ Class A Common Stock (30,435 underlying)

Footnotes (3)

[F1]Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of Class A Common Stock of the Issuer.
[F2]Represents a grant of RSUs under the Issuer's Amended and Restated 2020 Incentive Award Plan that was made on November 15, 2025. The RSUs vested in full on March 1, 2026, and delivery of Class A Common Stock in settlement of vested RSUs will occur on the delivery date set forth in the applicable award agreement unless the Issuer elects to settle the RSUs in cash, or a combination of Class A Common Stock and cash, in the Issuer's sole discretion.
[F3]Represents a grant of RSUs under the Issuer's Amended and Restated 2020 Incentive Award Plan on March 1, 2026. The RSUs will vest in three equal installments on May 15, 2027, May 15, 2028 and May 15, 2029, subject to the Reporting Person's continued service through the applicable vesting date. Delivery of Class A Common Stock in settlement of vested RSUs will occur on the delivery date set forth in the applicable award agreement.

Signature

/s/ Burke Montgomery, Attorney-in-Fact|2026-03-03

1 file