SEC Form 4 · accession 0001209191-18-059323
Lazard, Inc. · LAZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott D Hoffman
Officer — CAO and General Counsel
Period of report
Nov 16, 2018
Accepted (ET)
Nov 19, 2018 · 6:54 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 UnitsF1,F2,F4,F3 | — | Nov 16, 2018 | A | 2,211 | A | — | — | Class A Common Stock | 2,211 | 25,308 | D |
Explanation of responses
- F1Additional Restricted Stock Units ("RSUs") were acquired pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards.
- F2Each RSU represents a contingent right to receive one share of Class A Common Stock.
- F3Of these RSUs, 974 will vest on or around March 1, 2019, 694 will vest on or around March 2, 2020, and 543 will vest on or around March 1, 2021.
- F4Amount excludes 88,734 shares of Class A Common Stock and 48,321 PRSUs directly or indirectly beneficially owned by the reporting person.