SEC Form 5 · accession 0001209191-18-007245
Evercore Inc. · EVR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger C Altman
Officer — Founder and Senior Chairman · Director
Period of report
Dec 31, 2017
Accepted (ET)
Feb 2, 2018 · 8:04 pm EST
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 | Feb 6, 2017 | G | 6,800 | $0.00 | D | 210,918 | D | |
| Shares of Class A common stock, par value $0.01 per share | Feb 6, 2017 | G | 12,900 | $0.00 | D | 198,018 | D | |
| Shares of Class A common stock, par value $0.01 per share | Feb 6, 2017 | G | 3,200 | $0.00 | D | 194,818 | D | |
| Shares of Class A common stock, par value $0.01 per share | Feb 9, 2017 | G | 3,200 | $0.00 | D | 191,618 | D | |
| Shares of Class A common stock, par value $0.01 per share | Feb 9, 2017 | G | 3,200 | $0.00 | D | 188,418 | D | |
| Shares of Class A common stock, par value $0.01 per share | Feb 9, 2017 | G | 1,275 | $0.00 | D | 187,143 | D | |
| Shares of Class A common stock, par value $0.01 per share | Jul 28, 2017 | G | 8,300 | $0.00 | D | 178,843 | D | |
| Shares of Class A common stock, par value $0.01 per shareF3 | holding | — | — | — | 50,000 | I | Please 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 shareF4 | holding | — | — | — | 1 | I | Shares held in trust. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Partnership units of Evercore LPF5 | — | Feb 6, 2017 | G | 26,000 | D | — | — | Shares of Class A common stock, par value $0.01 per share | 26,000 | 683,784 | D |
| Partnership units of Evercore LPF5 | — | May 16, 2017 | G | 14,000 | D | — | — | Shares of Class A common stock, par value $0.01 per share | 14,000 | 669,784 | D |
| Partnership units of Evercore LPF5 | — | Oct 13, 2017 | G | 13,000 | D | — | — | Shares of Class A common stock, par value $0.01 per share | 13,000 | 656,784 | D |
| Partnership units of Evercore LPF5 | — | Nov 20, 2017 | G | 15,000 | D | — | — | Shares of Class A common stock, par value $0.01 per share | 15,000 | 641,784 | D |
| Partnership units of Evercore LPF5 | — | Nov 30, 2017 | G | 5,000 | D | — | — | Shares of Class A common stock, par value $0.01 per share | 5,000 | 636,784 | D |
| Partnership units of Evercore LPF4,F5 | — | holding | — | — | — | — | — | Shares of Class A common stock, par value $0.01 per share | 362,536 | 362,536 | I |
Explanation of responses
- F1Mr. Altman has made bona fide gifts of these shares of Class A common stock to unaffiliated not-for-profit institutions.
- F2Mr. Altman has made a bona fide gift of these shares of Class A common stock to the Altman Kazickas Foundation, a not-for-profit institution.
- F3These 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.
- F4These shares of Class B common stock are held in trust for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of these shares 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 these shares of Class B common stock for the purposes of Section 16 or any other purpose.
- F5Pursuant to the Restated Certificate of Incorporation of Evercore Inc., Evercore LP partnership units are, subject to certain restrictions in the Evercore LP partnership agreement, exchangeable on a one-to-one basis for shares of Evercore Inc. Class A common stock, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.