SEC Form 4 · accession 0001311370-16-000112
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
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 6:30 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 18, 2016 | A | 142 | A | — | — | Class A Common Stock | 142 | 14,855 | D |
Explanation of responses
- F1Additional Restricted Stock Units ("RSUs") were acquired pursuant to the dividend equivalent reinvestment provisions of underlying RSU awards.
- F2Each RSU represents a contingent right to receive one share of Class A Common Stock.
- F3Of these RSUs, 46 will vest on or around March 1, 2017, 53 will vest on or around March 1, 2018, and 43 will vest on or around March 1, 2019.
- F4Amount excludes 1,368 shares of Class A Common Stock and 6,172 shares of restricted Class A Common Stock beneficially owned by the reporting person.