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Evercore Inc. — Director's Dealing 2013
Aug 13, 2013
30471_dirs_2013-08-13_59d5bca5-4546-4efe-af49-613a28aa9e4e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Evercore Partners Inc. (EVR)
CIK: 0001360901
Period of Report: 2013-08-09
Reporting Person: Altman Roger C (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-09 | Shares of Class A common stock, par value $0.01 per share | C | 250000 | — | Acquired | 250000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-09 | Partnership units of Evercore LP | $ | C | 250000 | Disposed | Shares of Class A common stock, par value $0.01 per share (250000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Shares of Class A common stock, par value $0.01 per share | 389976 | Direct |
| Shares of Class B common stock, par value $0.01 per share | 1 | Direct |
| Shares of Class B common stock, par value $0.01 per share | 1 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Partnership units of Evercore LP | $ | Shares of Class A common stock, par value $0.01 per share (571671) | 571671 | Direct |
Footnotes
F1: Shares of Class A common stock were acquired upon exchange of Evercore LP partnership units, in accordance with the Evercore LP partnership agreement.
F2: These shares of Class A common stock are held for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of these shares of Class A common stock, and the filing of this report is not an admission that Mr. Altman is the beneficial owner of these shares of Class A common stock for the purposes of Section 16 or any other purpose.
F3: This share of Class B common stock is held in trust for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of this share of Class B common stock, and the filing of this report is not an admission that Mr. Altman is the beneficial owner of this share of Class B common stock for the purposes of Section 16 or any other purpose.
F4: Evercore LP partnership units are, subject to certain restrictions in the Evercore LP partnership agreement, exchangeable on a one-to-one basis for shares of Evercore Partners Inc. Class A common stock, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications.
F5: These Evercore LP units are held in trust for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of these partnership units and the filing of this report is not an admission that Mr. Altman is the beneficial owner of these partnership units for the purposes of Section 16 or for any other purpose.