GCM Grosvenor Inc.
For the period ended Mar 31, 2025. Filed May 8, 2025.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2025 · Filed May 8, 2025
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. EXHIBITS
The following is a list of exhibits filed as part of this Quarterly Report on Form 10-Q.
| Incorporated by Reference · Filed/ | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | File No. | Exhibit | FilingDate | FurnishedHerewith |
| 2.1† | Transaction Agreement, dated as of August 2, 2020, by and among CF Finance Acquisition Corp., CF Finance Intermediate Acquisition, LLC, CF Finance Holdings, LLC, Grosvenor Holdings, L.L.C., GCM Grosvenor Holdings, LLC, Grosvenor Capital Management Holdings, LLLP, GCM Grosvenor Management, LLC, Grosvenor Holdings II, L.L.C., GCMH GP, L.L.C., GCM V, LLC, and GCM Grosvenor Inc. | 8-K/A | 001-38759 | 2.1 | 08/04/20 | |
| 3.1 | Amended and Restated Certificate of Incorporation of GCM Grosvenor Inc. | 8-K | 001-39716 | 3.1 | 11/20/20 | |
| 3.2 | Amended and Restated Bylaws of GCM Grosvenor Inc. | 8-K | 001-39716 | 3.2 | 11/20/20 | |
| 4.1 | Warrant Agreement, dated December 12, 2018, between Continental Stock Transfer & Trust Company and CF Finance Acquisition Corp. | 8-K | 001-38759 | 4.1 | 12/17/18 | |
| 10.1 | GCM Grosvenor Inc. Non-Employee Director Compensation Policy (effective as of April 1, 2025) | 8-K | 001-39716 | 10.1 | 2/10/25 | |
| 10.2 | Acknowledgement and Agreement, effective as of March 1, 2025, between Frederick E. Pollock and Grosvenor Capital Management, L.P. | * | ||||
| 10.3 | Share Purchase Agreement, dated April 14, 2025, between GCM Grosvenor Inc. and Sumitomo Mitsui Trust Bank, Limited | 8-K | 001-39716 | 10.1 | 4/15/25 | |
| 31.1 | Chief Executive Officer Certifications pursuant to Section 302 of the Sarbanes Oxley Act of 2002 | * | ||||
| 31.2 | Chief Financial Officer Certifications pursuant to Section 302 of the Sarbanes Oxley Act of 2002 | * | ||||
| 32.1 | Chief Executive Officer Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes Oxley Act of 2002 | ** | ||||
| 32.2 | Chief Financial Officer Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes Oxley Act of 2002 | ** | ||||
| 101.INS | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | * | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | * | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | * | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | * | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | * | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | * | ||||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | * | ||||
- Filed herewith.
** Furnished herewith.
† Certain of the exhibits and schedules to this Exhibit have been omitted in accordance with Regulation S-K Item 601(a)(5). The Registrant agrees to furnish a copy of all omitted exhibits and schedules to the SEC upon its request.
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