1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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 |
Class E Units of Evercore LP
|
Â
(1)
|
Â
(1)
|
Shares of Class A common stock, par value $0.01 per share
|
1,183,220
|
$
(1)
|
I
|
Held through corporations.
(2)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Pursuant to the Certificate of Incorporation of Evercore Partners Inc. and the Limited Partnership Agreement of Evercore LP, 40% of the Class E units are, subject to certain restrictions, exchangeable on a one-for-one basis, without the payment of any consideration, into Class A common stock on quarterly exchange dates following the date hereof. The remaining Class E units are, subject to certain restrictions, exchangeable on a one-for-one basis, without the payment of any consideration, into Class A common stock in one-third increments on quarterly exchange dates following October 31 of each of 2015, 2016 and 2017. |
(2) |
The Reporting Person holds 1,179,434 of the Class E units through ISI Holding, Inc. and 3,786 of the Class E units through ISI Holding II, Inc., each of which is a corporation controlled by the Reporting Person. |