SEC Form 4 · accession 0001209191-17-006469
GREENHILL & CO INC · GHL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harold J Rodriguez Jr.
Officer — Chief Financial Officer
Period of report
Jan 30, 2017
Accepted (ET)
Jan 31, 2017 · 6:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001282977
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 30, 2017 | M | 20,926 | $0.00 | A | 20,926 | D | |
| Common Stock | Jan 30, 2017 | F | 9,948 | $29.55 | D | 10,978 | D | |
| Common Stock | Jan 30, 2017 | M | 6,919 | $0.00 | A | 17,897 | D | |
| Common Stock | Jan 30, 2017 | F | 3,250 | $29.55 | D | 14,647 | D | |
| Common StockF1 | holding | — | — | — | 79,351 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | Jan 30, 2017 | M | 20,926 | D | — | — | Common Stock | 20,926 | 0 | D |
| Restricted Stock UnitsF3 | — | Jan 30, 2017 | M | 6,919 | D | — | — | Common Stock | 6,919 | 27,677 | D |
Explanation of responses
- F1These shares are directly owned by Jacquelyn F. Rodriguez, the wife of Harold J. Rodriguez, Jr.
- F2This restricted stock unit award was granted on February 3, 2012 under the Greenhill & Co., Inc. Equity Incentive Plan. The units comprising the award vest in full on January 1 of the fifth calendar year following the grant date and are subject to payment within 75 days following such vesting date. Each unit represents a right to receive one share of Common Stock or an amount equal to the market value of the Common Stock underlying the vested award on the vesting date. Payment may be made in cash, shares of Common Stock or a combination thereof. On January 30, 2017, the vesting in full of this restricted stock unit award was settled in shares. Shares were withheld to satisfy applicable tax withholding obligations.
- F3This restricted stock unit award was granted on January 27, 2016 under the Greenhill & Co., Inc. Equity Incentive Plan. The units comprising the award vest in equal increments on each of the first, second, third, fourth and fifth anniversaries of the date of grant (each, a vesting date) and are subject to payment within 75 days following each such vesting date. Each unit represents a right to receive one share of Common Stock or an amount equal to the market value of the Common Stock underlying the vested award on the applicable vesting date. Payment may be made in cash, shares of Common Stock or a combination thereof. On January 30, 2017, the first vesting of this restricted stock unit award was settled in shares. Shares were withheld to satisfy applicable tax withholding obligations.