SEC Form 4 · accession 0001311370-15-000039
Lazard, Inc. · LAZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott D Hoffman
Officer — General Counsel
Period of report
Nov 13, 2015
Accepted (ET)
Nov 17, 2015 · 6:28 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,F4,F2,F3 | — | Nov 13, 2015 | A | 1,306 | A | — | — | Class A Common Stock | 1,306 | 15,366 | 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 and RSU awards.
- F2Each RSU represents a contingent right to receive one share of Class A common stock of Lazard Ltd.
- F3Of these RSUs, 551 will vest on or around March 1, 2016, 375 will vest on or around March 1, 2017, and 380 will vest on or around March 1, 2018.
- F4Amount excludes 88,783 shares of Class A common stock of Lazard Ltd and 70,029 Performance-based Restricted Stock Units beneficially owned by the reporting person.