SEC Form 4 · accession 0001209191-18-008534
Lazard, Inc. · LAZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dominick Ragone
Officer — Chief Accounting Officer
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 6:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001311370
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Feb 6, 2018 | A | 4,996 | A | — | — | Class A Common Stock | 4,996 | 21,242 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one share of Class A Common Stock of Lazard Ltd.
- F2The Restricted Stock Units will vest in two tranches: approximately 33% will vest on or around March 2, 2020 and approximately 67% will vest on or around March 1, 2021.
- F3Amount excludes (a) 4,513 shares of Class A Common Stock directly or indirectly beneficially owned outright by the reporting person and (b) 11,405 shares of restricted Class A Common Stock directly or indirectly beneficially owned by the reporting person.