0000905718-19-000517.txt : 20190606 0000905718-19-000517.hdr.sgml : 20190606 20190606200249 ACCESSION NUMBER: 0000905718-19-000517 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190604 FILED AS OF DATE: 20190606 DATE AS OF CHANGE: 20190606 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: 19883943 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 medleymgmt_fm4jun42019.xml OWNERSHIP DOCUMENT X0306 4 2019-06-04 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 2019-06-04 4 A 0 335968 0 A Common Stock 335968 1240029 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 June 4, 2019, Reporting Person was granted 335,968 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 December 31, 2019, subject to continued employment on each vesting date. /s/ John D. Fredericks, as Attorney-in-Fact 2019-06-06