Statement of Changes in Beneficial Ownership (4)
February 19 2021 - 5:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Altman Roger C |
2. Issuer Name and Ticker or Trading Symbol
Evercore Inc.
[
EVR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Founder and Senior Chairman |
(Last)
(First)
(Middle)
C/O EVERCORE INC., 55 EAST 52ND STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/17/2021 |
(Street)
NEW YORK, NY 10055
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Shares of Class A common stock, par value $0.01 per share | 2/17/2021 | | A | | 31950 (1) | A | $0.00 | 157460 | D | |
Shares of Class B common stock, par value $0.01 per share | | | | | | | | 1 | D | |
Shares of Class B common stock, par value $0.01 per share | | | | | | | | 1 | I | Shares held in trust. (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Restricted Stock Units, which vest in four equal annual installments beginning on February 4, 2022. |
(2) | These securities are held in trust for the benefit of Mr. Altman's family. Mr. Altman disclaims beneficial ownership of these securities and the filing of this report is not an admission that Mr. Altman is the beneficial owner of these securities for the purposes of Section 16 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Altman Roger C C/O EVERCORE INC. 55 EAST 52ND STREET NEW YORK, NY 10055 | X |
| Founder and Senior Chairman |
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Signatures
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/s/ Jason Klurfeld, as Attorney-in-Fact | | 2/19/2021 |
**Signature of Reporting Person | Date |
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