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