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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class E Units of Evercore LP | (1) | 02/15/2016 | A(1) | 179,276 | (1) | (1) | Shares of Class A common stock, par value $0.01 per share | 179,276 | $ 0 | 1,362,496 | I | Held through corporations (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HYMAN EDWARD S C/O EVERCORE PARTNERS INC. 55 EAST 52ND STREET, FLOOR 38 NEW YORK, NY 10055 |
Vice Chair EPI & Chairman EISI |
/s/ Adam B. Frankel, as Attorney-in-Fact | 02/17/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On February 15, 2016, a portion of the Class G interests in Evercore LP held by the Reporting Person converted into a total of 179,276 Class E units due to the achievement of financial performance targets for Evercore's equity sales, trading and research business, as specified in the terms and conditions of the Class G interests. Pursuant to the Certificate of Incorporation of Evercore Partners Inc. and the Limited Partnership Agreement of Evercore LP, these newly delivered Class E units are, subject to certain restrictions, currently exchangeable on a one-for-one basis, without the payment of any consideration, into Class A common stock on quarterly exchange dates. |
(2) | The Reporting Person holds 1,358,136 of his total Class E units through ISI Holding, Inc. and 4,360 of the Class E units through ISI Holding II, Inc., each of which is a corporation controlled by the Reporting Person. |