Statement of Changes in Beneficial Ownership (4)
September 08 2022 - 04:36PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * RAGONE DOMINICK |
2. Issuer Name and Ticker or Trading
Symbol Lazard Ltd [ LAZ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Accounting Officer |
|
(Last)
(First)
(Middle)
C/O LAZARD LTD, 30 ROCKEFELLER PLAZA |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/6/2022
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(Street)
NEW YORK, NY 10112
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 |
|
Class A Common Stock |
9/6/2022 |
|
M |
|
1015 |
A |
(1) |
17083 |
D |
|
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Restricted Class A Common
Stock |
9/6/2022 |
|
M |
|
3178 |
D |
(1) |
3046 |
D |
|
|
Class A Common Stock |
9/6/2022 |
|
M |
|
3178 |
A |
(1) |
20261 |
D |
|
|
Class A Common Stock |
9/6/2022 |
|
F |
|
4193 |
D |
$35.76 (2) |
16068 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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 |
|
Restricted Stock Units (3) |
(1) |
9/6/2022 |
|
M |
|
|
1015 |
(1) |
(1) |
Class A Common Stock |
1015 |
(1) |
21141 |
D |
|
| Explanation of
Responses: |
| (1) |
The reporting person has
become eligible for retirement under the Company's Deferred
Compensation Retirement Policy, which is described in the Company's
2022 Proxy Statement. As a result, certain Restricted Stock Units
("RSUs") and Restricted Class A Common Shares ("RSAs") that were
previously granted to the reporting person are no longer subject to
the service-based vesting requirements contained in the underlying
award agreements. Such RSUs and RSAs have now become subject to
taxation and a portion thereof was settled in Class A Common Stock
and retained by the Company in order to cover taxes required to be
withheld. The RSUs and RSAs, excluding the portion retained by the
Company in order to cover taxes required to be withheld, will
remain subject to all restrictive covenants and sales restrictions
contained in the underlying award agreements until the original
vesting dates set forth in the award agreements. |
| (2) |
Represents the New York
Stock Exchange closing price of Class A Common Stock on September
2, 2022, the trading day immediately preceding the taxation
date. |
| (3) |
Represents prior grants of
RSUs (including RSUs previously acquired pursuant to the dividend
reinvestment provisions of underlying RSUs) awarded with respect to
compensation for 2019, 2020 and 2021. |
Reporting
Owners
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|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
RAGONE DOMINICK
C/O LAZARD LTD
30 ROCKEFELLER PLAZA
NEW YORK, NY 10112 |
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|
Chief Accounting Officer |
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Signatures
|
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/s/ Dominick Ragone by Scott D. Hoffman under a P
of A |
|
9/8/2022 |
| **Signature of Reporting
Person |
Date |
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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 control number. |
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