SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GREENHILL & CO INC [ GHL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/08/2023 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 05/08/2023 | M | 1,267 | A | $6.96 | 5,052 | D | |||
Common Stock | 05/08/2023 | F | 511 | D | $6.96 | 4,541 | D | |||
Common Stock | 05/08/2023 | M | 853 | A | $6.96 | 5,394 | D | |||
Common Stock | 05/08/2023 | F | 344 | D | $6.96 | 5,050 | D | |||
Common Stock | 05/08/2023 | M | 969 | A | $6.96 | 6,019 | D | |||
Common Stock | 05/08/2023 | F | 391 | D | $6.96 | 5,628 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Restricted Stock Units | (1) | 05/08/2023 | M | 1,267 | (1) | (1) | Common Stock | 1,267 | (1) | 1,267 | D | ||||
Restricted Stock Units | (2) | 05/08/2023 | M | 853 | (2) | (2) | Common Stock | 853 | (2) | 1,707 | D | ||||
Restricted Stock Units | (3) | 05/08/2023 | M | 969 | (3) | (3) | Common Stock | 969 | (3) | 2,909 | D |
Explanation of Responses: |
1. This restricted stock unit award was granted on June 30, 2020 under the Greenhill & Co., Inc. 2019 Equity Incentive Plan. The units comprising the award vest in equal increments on each of the first, second, third and fourth anniversaries of the date of grant (each, a vesting date) and are subject to payment within 75 days following each such vesting date. Each unit represents a right to receive one share of Common Stock or an amount equal to the market value of the Common Stock underlying the vested award on the applicable vesting date. Payment may be made in cash, shares of Common Stock or a combination thereof. On May 8, 2023, the third vesting of this award was settled in shares. Shares were withheld to satisfy applicable tax withholding obligations. |
2. This restricted stock unit award was granted on March 31, 2021 under the Greenhill & Co., Inc. 2019 Equity Incentive Plan. The units comprising the award vest in equal increments on each of the first, second, third and fourth anniversaries of the date of grant (each, a vesting date) and are subject to payment within 75 days following each such vesting date. Each unit represents a right to receive one share of Common Stock or an amount equal to the market value of the Common Stock underlying the vested award on the applicable vesting date. Payment may be made in cash, shares of Common Stock or a combination thereof. On May 8, 2023, the second vesting of this award was settled in shares. Shares were withheld to satisfy applicable tax withholding obligations. |
3. This restricted stock unit award was granted on March 31, 2022 under the Greenhill & Co., Inc. 2019 Equity Incentive Plan. The units comprising the award vest in equal increments on each of the first, second, third and fourth anniversaries of the date of grant (each, a vesting date) and are subject to payment within 75 days following each such vesting date. Each unit represents a right to receive one share of Common Stock or an amount equal to the market value of the Common Stock underlying the vested award on the applicable vesting date. Payment may be made in cash, shares of Common Stock or a combination thereof. On May 8, 2023, the first vesting of this award was settled in shares. Shares were withheld to satisfy applicable tax withholding obligations. |
Remarks: |
/s/ Mark R. Lasky | 06/05/2023 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |