Statement of Changes in Beneficial Ownership (4)
May 14 2021 - 5:00PM
Edgar (US Regulatory)
FORM 4
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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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3235-0287
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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
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HYMAN EDWARD S |
2. Issuer Name and Ticker or Trading Symbol
Evercore Inc.
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EVR
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Vice Chair EVR & Chairman EISI |
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(Last)
(First)
(Middle)
C/O EVERCORE INC., 55 EAST 52ND STREET, FLOOR 38 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/13/2021 |
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(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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| Class A Partnership Units of Evercore LP | 5/13/2021 | | D | | 1200 | D | (1) | 47119 | D | |
| Shares of Class B common stock, par value $0.01 per share | 5/13/2021 | | A(2) | | 1 | A | (2) | 1 | D | |
| Shares of Class B common stock, par value $0.01 per share | | | | | | | | 2 | I | Shares held in Corporation (3) |
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 |
| Class A Partnership Units of Evercore LP | (4) | 5/13/2021 | | A | | 1200 | | (4) | (4) | Shares of Class A common stock, par value $0.01 per share | 1200 | (1) | 1200 (4) | D | |
| Class E Units of Evercore LP | (4) | | | | | | | (4) | (4) | Shares of Class A common stock, par value $0.01 per share | (3) | | 2545205 | I | Shares in Corporation (3) |
| Explanation of Responses: |
| (1) | On May 13, 2021, the Reporting Person exchanged 1,200 shares of Class A common stock for an equal number of Evercore LP partnership units |
| (2) | On May 13, 2021, the Reporting Person purchased one share of Class B common stock for par value. Class B common stock has no associated economic rights. |
| (3) | The Reporting Person holds 2,545,205 Class E Units and 2 Class B Shares through ISI Holding Inc. and ISI Holding II, Inc., each of which is a corporation controlled by the Reporting Person. |
| (4) | Pursuant to the Restated Certificate of Incorporation of Evercore Inc., 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 Inc. Class A common stock, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
HYMAN EDWARD S
C/O EVERCORE INC.
55 EAST 52ND STREET, FLOOR 38
NEW YORK, NY 10055 |
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| Vice Chair EVR & Chairman EISI |
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Signatures
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| /s/ Jason Klurfeld, as Attorney-in-Fact | | 5/14/2021 |
| **Signature of Reporting Person | Date |
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