Current Report Filing (8-k)
November 14 2016 - 5:08PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the
Securities Exchange Act of 1934
Date of Report (Date of Earliest
Event Reported): November 14, 2016
Medley Management Inc.
(Exact name of registrant as specified in
its charter)
Delaware
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001-36638
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47-1130638
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(State or other jurisdiction of
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(Commission File Number)
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(IRS Employer
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incorporation)
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Identification No.)
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280 Park Avenue, 6
th
Floor
East, New York, NY 10017
(Address of principal executive offices)
(Zip Code)
(212) 759-0777
(Registrant’s telephone number, including
area code)
Not Applicable
(Former name or former address, if changed
since last report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 2.02
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Results of Operations and Financial Condition.
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On November 14, 2016,
Medley Management Inc. (the “Company”) issued a press release announcing its financial results for its fiscal third
quarter ended September 30, 2016. The press release is furnished as Exhibit 99.1 to this Report.
As provided in General
Instruction B.2 of Form 8-K, the information in this Item 2.02 and the exhibit attached hereto shall not be deemed to be “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall they be deemed to be incorporated by reference
in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such
filing.
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Item 9.01
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Financial Statements and Exhibits.
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(d) Exhibits.
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Exhibit No.
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Description
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99.1
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Press Release, dated November 14, 2016
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SIGNATURE
Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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MEDLEY MANAGEMENT INC.
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By:
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/s/ Richard T. Allorto, Jr.
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Name:
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Richard T. Allorto, Jr.
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Title:
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Chief Financial Officer
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Date: November 14, 2016
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