Initial Statement of Beneficial Ownership (3)
January 20 2021 - 6:05PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Taube Angelic Diaz |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/17/2021
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3. Issuer Name and Ticker or Trading Symbol
MEDLEY MANAGEMENT INC. [MDLY]
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(Last)
(First)
(Middle)
345 CALIFORNIA STREET, STE. 1160 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Street)
SAN FRANCISCO, CA 94104
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Medley LLC Units | (1) | (1) | Class A Common Stock | 500000 | (1) | D | |
| Explanation of Responses: |
| (1) | Pursuant to court approval of a marital settlement order for a divorce, the reporting person acquired voting and dispositive power over 500,000 Class A units of limited partnership interest ("Medley LLC Units") in Medley LLC, of which the Issuer is the managing member. Pursuant to the terms of an exchange agreement, Medley LLC Units are exchangeable on a 1-for-1 basis for shares of Class A Common Stock of the Issuer and have no expiration date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Taube Angelic Diaz
345 CALIFORNIA STREET
STE. 1160
SAN FRANCISCO, CA 94104 |
| X |
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Signatures
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| /s/ Angelic Diaz Taube | | 1/19/2021 |
| **Signature of Reporting Person | Date |
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