0000905718-20-000732.txt : 20200707
0000905718-20-000732.hdr.sgml : 20200707
20200707161121
ACCESSION NUMBER: 0000905718-20-000732
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200706
FILED AS OF DATE: 20200707
DATE AS OF CHANGE: 20200707
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fredericks John D.
CENTRAL INDEX KEY: 0001599314
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36638
FILM NUMBER: 201016219
MAIL ADDRESS:
STREET 1: C/O MEDLEY CAPITAL CORPORATION
STREET 2: 375 PARK AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10152
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_fm4jul62020.xml
X0306
4
2020-07-06
0
0001611110
MEDLEY MANAGEMENT INC.
MDLY
0001599314
Fredericks John D.
C/O MEDLEY MANAGEMENT INC.
280 PARK AVENUE, 6TH FLOOR EAST
NEW YORK
NY
10017
0
1
0
0
General Counsel and Secretary
Medley LLC Units
2020-07-06
4
A
0
92230
0
A
Class A Common Stock
92230
989561
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 July 6, 2020, Reporting Person was granted 92,230 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among the 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 Class A Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 18, 2021, subject to continued employment on each vesting date.
/s/ John D. Fredericks
2020-07-07