SEC Form 4 · accession 0001209191-16-127329
Evercore Inc. · EVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger C Altman
Officer — Executive Chairman · Director
Period of report
Jun 10, 2016
Accepted (ET)
Jun 13, 2016 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001360901
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Shares of Class A common stock, par value $0.01 per share | Jun 10, 2016 | A | 114 | $0.00 | A | 304,310 | D | |
| Shares of Class A common stock, par value $0.01 per share | Jun 10, 2016 | A | 114 | $0.00 | A | 304,424 | D | |
| Shares of Class A common stock, par value $0.01 per share | Jun 10, 2016 | A | 294 | $0.00 | A | 304,718 | D | |
| Shares of Class A common stock, par value $0.01 per share | Jun 10, 2016 | A | 576 | $0.00 | A | 305,294 | D | |
| Shares of Class A common stock, par value $0.01 per shareF5 | holding | — | — | — | 50,000 | I | See footnote | |
| Shares of Class B common stock, par value $0.01 per share | holding | — | — | — | 1 | D | ||
| Shares of Class B common stock, par value $0.01 per shareF6 | holding | — | — | — | 1 | I | Share held in trust. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares of Class A common stock are dividend equivalents in the form of restricted stock units on 18,286 unvested underlying RSUs awarded on February 12, 2013. The dividend equivalent RSUs will vest concurrent with the vesting of the unvested underlying RSUs awarded on February 12, 2013.
- F2Shares of Class A common stock are dividend equivalents in the form of restricted stock units on 18,388 unvested underlying RSUs awarded on February 11, 2014. The dividend equivalent RSUs will vest concurrent with the vesting of the unvested underlying RSUs awarded on February 11, 2014.
- F3Shares of Class A common stock are dividend equivalents in the form of restricted stock units on 47,397 unvested underlying RSUs awarded on February 18, 2015. The dividend equivalent RSUs will vest concurrent with the vesting of the unvested underlying RSUs awarded on February 18, 2015.
- F4Shares of Class A common stock are dividend equivalents in the form of restricted stock units on 93,125 unvested underlying RSUs awarded on February 17, 2016. The dividend equivalent RSUs will vest concurrent with the vesting of the unvested underlying RSUs awarded on February 17, 2016.
- F5These shares of Class A common stock are held for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of these shares of Class A common stock held by the trust and he does not have voting or investment power over the trust, and the filing of this report is not an admission that Mr. Altman is the beneficial owner of these shares of Class A common stock for the purposes of Section 16 or any other purpose.
- F6This share of Class B common stock is held in trust for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of this share of Class B common stock and he does not have voting or investment power over the trust, and the filing of this report is not an admission that Mr. Altman is the beneficial owner of this share of Class B common stock for the purposes of Section 16 or any other purpose.