SEC Form 4 · accession 0001311370-17-000013

Lazard, Inc. · LAZ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — General Counsel

Period of report

Feb 23, 2017

Accepted (ET)

Feb 27, 2017 · 6:11 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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance-based Restricted Stock Units^F1,F2,F3	—	Feb 23, 2017	A	95,204	A	—	—	Class A Common Stock	95,204	128,722	D
Restricted Stock Units^F4,F5,F7,F6	—	Feb 24, 2017	A	10,265	A	—	—	Class A Common Stock	10,265	28,215	D

F1Represents prior grants of Performance-based Restricted Stock Units ("PRSUs") awarded with respect to compensation for 2013, 2014 and 2015 for which performance conditions have been satisfied. These grants were previously reflected in Lazard Ltd's proxy statements for the relevant years.
F2Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.
F3Of these PRSUs, 66,349 will vest on or around March 1, 2017, 11,401 will vest on or around March 1, 2018 and 17,454 will vest on or around March 1, 2019.
F4Additional Restricted Stock Units ("RSUs") were acquired pursuant to the dividend equivalent reinvestment provisions of underlying PRSU awards.
F5Each RSU represents a contingent right to receive one share of Class A Common Stock.
F6Of these RSUs, 3,542 will vest on or around March 1, 2017, 1,919 will vest on or around March 1, 2018, 2,805 will vest on or around March 1, 2019 and 1,999 will vest on or around March 2, 2020.
F7Amount excludes 30,424 shares of Class A Common Stock beneficially owned by the reporting person.