SEC Form 4 · accession 0000905718-17-000879
MEDLEY MANAGEMENT INC. · MDLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Guy Rounsaville Jr.
Director
Period of report
Sep 29, 2017
Accepted (ET)
Oct 12, 2017 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001611110
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 29, 2017 | M | 1,430 | — | A | 12,018 | D |
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,F2 | — | Sep 29, 2017 | M | 1,430 | D | — | — | Class A common stock | 1,430 | 0 | D |
Explanation of responses
- F1Each restricted stock unit converted into Class A common stock of the issuer on a one-for-one basis.
- F2The restricted stock units vested on September 29, 2017.