0000905718-18-000514.txt : 20180515
0000905718-18-000514.hdr.sgml : 20180515
20180515172516
ACCESSION NUMBER: 0000905718-18-000514
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180511
FILED AS OF DATE: 20180515
DATE AS OF CHANGE: 20180515
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Allorto Richard T JR
CENTRAL INDEX KEY: 0001395260
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36638
FILM NUMBER: 18837921
MAIL ADDRESS:
STREET 1: C/O GSC INVESTMENT CORP.
STREET 2: 12 EAST 49TH STREET, SUITE 3200
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MEDLEY MANAGEMENT INC.
CENTRAL INDEX KEY: 0001611110
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 280 PARK AVENUE, 6TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 2127590777
MAIL ADDRESS:
STREET 1: 280 PARK AVENUE, 6TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
medleymanage_fm4may112018.xml
OWNERSHIP DOCUMENT
X0306
4
2018-05-11
0
0001611110
MEDLEY MANAGEMENT INC.
MDLY
0001395260
Allorto Richard T JR
C/O MEDLEY MANAGEMENT INC.
280 PARK AVENUE, 6TH FLOOR EAST
NEW YORK
NY
10017
0
1
0
0
Chief Financial Officer
Medley LLC Units
2018-05-11
4
A
0
49000
0
A
Common Stock
49000
825061
D
Medley LLC Units
2018-05-11
4
A
0
79000
0
A
Common Stock
79000
904061
D
Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 49,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.
Reporting Person is an existing member and holds Medley LLC Units. In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 79,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability.
/s/ Richard T. Allorto Jr.
2018-05-15