SEC Form 4 · accession 0001311370-17-000005
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 7, 2017
Accepted (ET)
Feb 9, 2017 · 6:00 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 7, 2017 | A | 5,187 | A | — | — | Class A Common Stock | 5,187 | 20,042 | 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 1, 2019 and approximately 67% will vest on or around March 2, 2020.
- F3Amount 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.