0000905718-18-000720.txt : 20180808 0000905718-18-000720.hdr.sgml : 20180808 20180808182045 ACCESSION NUMBER: 0000905718-18-000720 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180807 FILED AS OF DATE: 20180808 DATE AS OF CHANGE: 20180808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eaton James George CENTRAL INDEX KEY: 0001701358 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36638 FILM NUMBER: 181002761 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_fm4aug72018.xml X0306 4 2018-08-07 0 0001611110 MEDLEY MANAGEMENT INC. MDLY 0001701358 Eaton James George C/O MEDLEY MANAGEMENT INC. 280 PARK AVENUE, 6TH FLOOR EAST NEW YORK NY 10017 1 0 0 0 Class A Common Stock 2018-08-07 4 M 0 11111 A 12548 D Restricted Stock Units 2018-08-07 4 M 0 11111 0 D Class A Common Stock 11111 0 D Restricted Stock Units 2018-08-07 4 A 0 19719 0 A Class A Common Stock 19719 19719 D Each restricted stock unit converted into Class A common stock of the issuer on a one-for-one basis. The restricted stock units vesting schedule was accelerated such that the restricted stock units vested on August 7, 2018. Each restricted stock unit represents a contingent right to receive one share of issuer Class A common stock. The restricted stock units will be settled in either Class A common stock or cash (or a combination thereof) at the discretion of the issuer's compensation committee. The restricted stock units vest on May 10, 2019. /s/ John D. Fredericks, as Attorney-in-Fact 2018-08-08