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