Taube Seth 4

4 · MEDLEY MANAGEMENT INC. · Filed Jan 20, 2021

Form 4

Period: 2021-01-17

DirectorCo-Chief Executive Officer

Transactions

Conversion
Class A Common Stock
2021-01-19+450,000→ 450,000 total(indirect: By LLC)
Other
Medley LLC Units
2021-01-17−90,909→ 0 total(indirect: By LLC)
→ Class A Common Stock (90,909 underlying)
Other
Medley LLC Units
2021-01-18+499,999→ 499,999 total(indirect: By LLC)
→ Class A Common Stock (499,999 underlying)
Other
Medley LLC Units
2021-01-17−818,181→ 0 total(indirect: By Trust)
→ Class A Common Stock (818,181 underlying)
Other
Medley LLC Units
2021-01-17−90,909→ 0 total(indirect: By LLC)
→ Class A Common Stock (90,909 underlying)
Conversion
Medley LLC Units
2021-01-19−450,000→ 49,999 total(indirect: By LLC)
→ Class A Common Stock (450,000 underlying)

Footnotes (7)

[F1]The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.
[F2]Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date.
[F3]These securities were held by a trust for which the reporting person serves as a trustee.
[F4]These securities were held by a limited liability company, for which reporting person served as the managing member.
[F5]These securities were held by a limited liability company, for which reporting person served as the managing member.
[F6]Subsequent to and in connection with the court approval of a marital settlement agreement for a divorce, all Class A Medley LLC Units were transferred to a trust where reporting person is the sole trustee and beneficiary which trust then contributed the LLC Units to Freedom 2021 LLC.
[F7]Each Class A Unit of Medley LLC 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.

Documents

1 file