0000905718-21-000069.txt : 20210120 0000905718-21-000069.hdr.sgml : 20210120 20210120160633 ACCESSION NUMBER: 0000905718-21-000069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210119 FILED AS OF DATE: 20210120 DATE AS OF CHANGE: 20210120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Taube Brook CENTRAL INDEX KEY: 0001510194 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36638 FILM NUMBER: 21538820 MAIL ADDRESS: STREET 1: C/O MEDLEY MANAGEMENT INC. STREET 2: 280 PARK AVENUE, 6TH FLOOR EAST 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_fm4jan2021.xml X0306 4 2021-01-19 0 0001611110 MEDLEY MANAGEMENT INC. MDLY 0001510194 Taube Brook C/O MEDLEY MANAGEMENT INC. 280 PARK AVENUE, 6TH FLOOR EAST NEW YORK NY 10017 1 1 1 0 Co-CEO and CIO Class A Common Stock 2021-01-19 4 C 0 999999 A 999999 I By Sandy Point LLC Medley LLC Units 2021-01-19 4 C 0 999999 0 D Class A Common Stock 999999 0 I By Sandy Point LLC Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc. The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Shares previously reported as held indirectly by Reporting Person in a limited liability company and a trust, both of which were controlled by Reporting Person. Reporting Person is the Managing Member and owns 98% of Sandy Point LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. /s/ Brook Taube 2021-01-20