0000899243-21-010347.txt : 20210308 0000899243-21-010347.hdr.sgml : 20210308 20210308161525 ACCESSION NUMBER: 0000899243-21-010347 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210304 FILED AS OF DATE: 20210308 DATE AS OF CHANGE: 20210308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MURSTEIN ALVIN CENTRAL INDEX KEY: 0001000210 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37747 FILM NUMBER: 21722133 BUSINESS ADDRESS: STREET 1: 205 EAST 42ND STREET STREET 2: SUITE 2000 CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MEDALLION FINANCIAL CORP CENTRAL INDEX KEY: 0001000209 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 043291176 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 437 MADISON AVE 38 TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123282153 MAIL ADDRESS: STREET 1: 437 MADISON AVENUE STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-04 0 0001000209 MEDALLION FINANCIAL CORP MFIN 0001000210 MURSTEIN ALVIN C/O MEDALLION FINANCIAL CORP. 437 MADISON AVENUE NEW YORK NY 10022 1 1 0 0 See Remarks Common Stock 2021-03-04 4 A 0 16235 0.00 A 200999 D Common Stock 1268182 I See Footnote Common Stock 80118 I See Footnote Common Stock 117660 I See Footnote Common Stock 5000 I See Footnote Common Stock (right to buy) 6.79 2021-03-04 4 A 0 31505 0.00 A 2031-03-04 Common Stock 31505 103565 D Represents restricted shares of common stock awarded under the Medallion Financial Corp. 2018 Equity Incentive Plan which will vest in equal one-fourth increments on March 4, 2022, March 4, 2023, March 4, 2024 and March 4, 2025. Represents shares beneficially owned by the Alvin Murstein Second Family Trust registered in the name of Morgan Stanley of which Mr. Murstein is a co-trustee and the beneficiary. Represents shares beneficially owned by the Alvin Murstein Second Family Trust of which Mr. Murstein is a co-trustee and the beneficiary. Represents beneficially owned by the Aileen J. Murstein Family 2012 Trust of which Mr. Murstein is the grantor and Mr. Murstein's spouse is a co-trustee and the beneficiary. Represents shares owned by Mr. Murstein's spouse. One-fourth of the options will become exercisable on March 4, 2022, March 4, 2023, March 4, 2024 and March 4, 2025. Chairman & Chief Executive Officer /s/Alvin Murstein 2021-03-08