First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation filed a joint Schedule 13G with the SEC on October 27, 2026, disclosing beneficial ownership of 608,157 shares of Graham Corporation common stock as of September 30, 2026.

Key Highlights

  • Aggregate beneficial ownership: The three reporting persons each disclosed beneficial ownership of 608,157 shares of Graham Corporation common stock.
  • Percent of class: The 608,157 shares represent 5.18% of the outstanding class of common stock, according to the filing.
  • Shared dispositive power: All three reporting persons report shared dispositive power over 608,157 shares; none reports sole voting or sole dispositive power.
  • Shared voting power: First Trust Advisors L.P. and The Charger Corporation each report shared voting power over 560,566 shares; First Trust Portfolios L.P. reports 0 shared voting power.
  • Triggering event date: The event requiring the filing occurred on September 30, 2026, as stated in the document.
  • Beneficial ownership disclaimed: According to the filing, "Each of First Trust Portfolios L.P., First Trust Advisors L.P. and The Charger Corporation disclaims beneficial ownership of the shares of the issuer identified in this filing."

Structure of the First Trust Group's Reported Position in Graham Corporation

The filing identifies The Charger Corporation as the general partner of both First Trust Portfolios L.P. and First Trust Advisors L.P., all organized in Illinois and headquartered at 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187. The three entities filed jointly under Rule 13d-1(k)(1). According to the filing, First Trust Portfolios L.P. acts as sponsor of certain unit investment trusts that hold shares of Graham Corporation, and the total shares held by those unit investment trusts correspond to the 47,591 shares listed under its shared dispositive power row.

First Trust Advisors L.P. is described in the filing as an affiliate of First Trust Portfolios L.P. that acts as portfolio supervisor of those unit investment trusts, certain of which hold Graham Corporation shares. The filing notes that neither First Trust Portfolios L.P., First Trust Advisors L.P., nor The Charger Corporation "have the power to vote the shares of the issuer held by these unit investment trusts," as those shares are voted by the trustee of such trusts. The filing further states that shares are "ordinarily voted as closely as possible in the same manner and in the same general proportion as are the shares held by owners other than such unit investment trusts."

The difference between the 608,157 aggregate beneficial ownership figure and the unit investment trust holdings, according to the filing, "represents shares of the issuer which are either held in other registered investment companies, pooled investment vehicles and/or separately managed accounts for which First Trust Advisors L.P. serves as investment advisor and/or investment sub-advisor." The filing was signed by James M. Dykas, Chief Financial Officer, on behalf of all three reporting persons on October 27, 2026. Graham Corporation is identified in the filing as located at 20 Florence Avenue, Batavia, NY 14020.

What Was Disclosed

Three affiliated Illinois-based entities, First Trust Portfolios L.P., First Trust Advisors L.P., and The Charger Corporation, jointly reported beneficial ownership of 608,157 shares, or 5.18%, of Graham Corporation common stock (CUSIP 384556106) as of September 30, 2026, while each disclaiming beneficial ownership.