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