Allorto Richard T JR

SEC source: 0001193125-26-104100 · ownership.xml · nonDerivative · entry 1

Allorto Richard T JR · CIK 0001395260 · CFO and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

SEC source: 0001193125-26-104103 · ownership.xml · nonDerivative · entry 1

Allorto Richard T JR · CIK 0001395260 · CFO and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0000950170-24-067955 · ownership.xml · nonDerivative · entry 1

Allorto Richard T JR · CIK 0001395260 · CFO and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0000950170-24-031459 · ownership.xml · nonDerivative · entry 1

Allorto Richard T JR · CIK 0001395260 · CFO and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001209191-23-030008 · doc4.xml · nonDerivative · entry 1

Allorto Richard T JR · CIK 0001395260 · CFO and Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0000905718-21-000063 · medleymgmt_fm4jan2021.xml · derivative · entry 4

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Castle Capital LLC

Disclosed balance after: 0

Underlying: Class A Common Stock · 73,471 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc ("MDLY"). The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Reporting Person is the managing member and owns 99% of New Castle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F1 · derivative.exercise_date: Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc ("MDLY"). The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Reporting Person is the managing member and owns 99% of New Castle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F1 · derivative.expiration_date: Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc ("MDLY"). The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Reporting Person is the managing member and owns 99% of New Castle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F1 · ownership.nature: Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc ("MDLY"). The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Reporting Person is the managing member and owns 99% of New Castle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0000905718-21-000063 · medleymgmt_fm4jan2021.xml · nonDerivative · entry 2

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Castle Capital LLC

Disclosed balance after: 133,224

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc ("MDLY"). The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Reporting Person is the managing member and owns 99% of New Castle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

F4 · balance_after: Reflects a portion of unvested RSUs.

F1 · ownership.nature: Each Class A Unit of Medley LLC ("Medley LLC Unit") was exchanged for one share of Class A Common Stock of Medley Management Inc ("MDLY"). The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Reporting Person is the managing member and owns 99% of New Castle Capital LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0000905718-21-000063 · medleymgmt_fm4jan2021.xml · derivative · entry 3

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 59,753 shares

Expires not disclosed

F3 · derivative.exercise_price: The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. The Reporting Person disposed of Medley LLC Units in exchange for RSUs.

F3 · derivative.exercise_date: The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. The Reporting Person disposed of Medley LLC Units in exchange for RSUs.

F3 · derivative.expiration_date: The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. The Reporting Person disposed of Medley LLC Units in exchange for RSUs.

SEC source: 0000905718-21-000063 · medleymgmt_fm4jan2021.xml · nonDerivative · entry 1

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,753

F2 · shares: Pursuant to the MDLY 2014 Omnibus Incentive Plan, Reporting Person was granted 59,753 Class A Common Stock restricted stock units (RSU). Subject to customary acceleration provisions and continued employment, 3,075 RSUs vest on January 18, 2021, 3,968 vest on January 1, 2022, 33,029 vest on January 15, 2022, 3,074 vest on January 18, 2022, 1,667 vest on February 22, 2022, 3,966 vest on January 1, 2023, 3,074 vest on January 18, 2023, and 7,900 shall vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability. Each RSU represents a contingent right to receive one share of Class A Common Stock and has no expiration date.

F3 · shares: The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. The Reporting Person disposed of Medley LLC Units in exchange for RSUs.

F4 · balance_after: Reflects a portion of unvested RSUs.

SEC source: 0000905718-20-000730 · medleymgmt_fm4jul62020.xml · derivative · entry 1

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,332,259

Underlying: Class A Common Stock · 92,230 shares

Expires not disclosed

F1 · security: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on July 6, 2020, Reporting Person was granted 92,230 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among the Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Class A Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 18, 2021, subject to continued employment on each vesting date.

F1 · derivative.exercise_price: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on July 6, 2020, Reporting Person was granted 92,230 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among the Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Class A Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 18, 2021, subject to continued employment on each vesting date.

F1 · shares: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on July 6, 2020, Reporting Person was granted 92,230 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among the Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Class A Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 18, 2021, subject to continued employment on each vesting date.

F1 · derivative.exercise_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on July 6, 2020, Reporting Person was granted 92,230 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among the Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Class A Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 18, 2021, subject to continued employment on each vesting date.

F1 · derivative.expiration_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on July 6, 2020, Reporting Person was granted 92,230 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among the Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Class A Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 18, 2021, subject to continued employment on each vesting date.

SEC source: 0000905718-19-000517 · medleymgmt_fm4jun42019.xml · derivative · entry 1

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,240,029

Underlying: Common Stock · 335,968 shares

Expires not disclosed

F1 · security: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on June 4, 2019, Reporting Person was granted 335,968 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing December 31, 2019, subject to continued employment on each vesting date.

F1 · derivative.exercise_price: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on June 4, 2019, Reporting Person was granted 335,968 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing December 31, 2019, subject to continued employment on each vesting date.

F1 · shares: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on June 4, 2019, Reporting Person was granted 335,968 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing December 31, 2019, subject to continued employment on each vesting date.

F1 · derivative.exercise_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on June 4, 2019, Reporting Person was granted 335,968 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing December 31, 2019, subject to continued employment on each vesting date.

F1 · derivative.expiration_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on June 4, 2019, Reporting Person was granted 335,968 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing December 31, 2019, subject to continued employment on each vesting date.

SEC source: 0000905718-18-000514 · medleymanage_fm4may112018.xml · derivative · entry 2

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 904,061

Underlying: Common Stock · 79,000 shares

Expires not disclosed

F2 · security: Reporting Person is an existing member and holds Medley LLC Units. In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 79,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability.

F2 · derivative.exercise_price: Reporting Person is an existing member and holds Medley LLC Units. In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 79,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability.

F2 · shares: Reporting Person is an existing member and holds Medley LLC Units. In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 79,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability.

F2 · derivative.exercise_date: Reporting Person is an existing member and holds Medley LLC Units. In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 79,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability.

F2 · derivative.expiration_date: Reporting Person is an existing member and holds Medley LLC Units. In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 79,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest upon (i) termination without cause in connection with a change in control, or (ii) provided the Reporting Person has not undergone a termination prior thereto, upon (a) the occurrence of a change in control, or (b) death or disability.

SEC source: 0000905718-18-000514 · medleymanage_fm4may112018.xml · derivative · entry 1

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 825,061

Underlying: Common Stock · 49,000 shares

Expires not disclosed

F1 · security: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 49,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · derivative.exercise_price: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 49,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · shares: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 49,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · derivative.exercise_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 49,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · derivative.expiration_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on May 11, 2018, Reporting Person was granted 49,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. Subject to customary acceleration provisions, these restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

SEC source: 0000905718-18-000344 · medleymanage_fm4mar282018.xml · derivative · entry 1

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,061

Underlying: Common Stock · 70,000 shares

Expires not disclosed

F1 · security: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on March 28, 2018, Reporting Person was granted 70,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · derivative.exercise_price: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on March 28, 2018, Reporting Person was granted 70,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · shares: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on March 28, 2018, Reporting Person was granted 70,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · derivative.exercise_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on March 28, 2018, Reporting Person was granted 70,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

F1 · derivative.expiration_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). In connection with Reporting Person's services, on March 28, 2018, Reporting Person was granted 70,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. These restricted Medley LLC Units vest annually in three equal installments commencing January 1, 2021.

SEC source: 0000905718-17-000309 · allorto_fm4feb222017new.xml · derivative · entry 3

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 706,061

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F4 · security: In connection with Reporting Person's services, on February 22, 2017, Reporting Person was granted 50,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. The restricted Medley LLC Units vest annually in three equal installments commencing February 22, 2020.

F4 · derivative.exercise_price: In connection with Reporting Person's services, on February 22, 2017, Reporting Person was granted 50,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. The restricted Medley LLC Units vest annually in three equal installments commencing February 22, 2020.

F4 · shares: In connection with Reporting Person's services, on February 22, 2017, Reporting Person was granted 50,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. The restricted Medley LLC Units vest annually in three equal installments commencing February 22, 2020.

F4 · derivative.exercise_date: In connection with Reporting Person's services, on February 22, 2017, Reporting Person was granted 50,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. The restricted Medley LLC Units vest annually in three equal installments commencing February 22, 2020.

F4 · derivative.expiration_date: In connection with Reporting Person's services, on February 22, 2017, Reporting Person was granted 50,000 restricted Medley LLC Units. Pursuant to the Exchange Agreement, each vested Medley LLC Unit may be exchanged for one share of Common Stock. The restricted Medley LLC Units vest annually in three equal installments commencing February 22, 2020.

SEC source: 0000905718-17-000309 · allorto_fm4feb222017new.xml · derivative · entry 2

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 656,061

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · security: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.

F2 · security: Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. The 50,000 restricted Medley LLC Units granted to Reporting Person are subject to the same vesting conditions and similar transfer restrictions as the original, now cancelled 50,000 RSUs.

F1 · derivative.exercise_price: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.

F2 · derivative.exercise_price: Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. The 50,000 restricted Medley LLC Units granted to Reporting Person are subject to the same vesting conditions and similar transfer restrictions as the original, now cancelled 50,000 RSUs.

F1 · kind: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.

F2 · kind: Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. The 50,000 restricted Medley LLC Units granted to Reporting Person are subject to the same vesting conditions and similar transfer restrictions as the original, now cancelled 50,000 RSUs.

F2 · shares: Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. The 50,000 restricted Medley LLC Units granted to Reporting Person are subject to the same vesting conditions and similar transfer restrictions as the original, now cancelled 50,000 RSUs.

F3 · shares: These restricted Medley LLC Units vest annually in three equal installments commencing March 16, 2019.

F3 · derivative.exercise_date: These restricted Medley LLC Units vest annually in three equal installments commencing March 16, 2019.

F3 · derivative.expiration_date: These restricted Medley LLC Units vest annually in three equal installments commencing March 16, 2019.

SEC source: 0000905718-17-000309 · allorto_fm4feb222017new.xml · derivative · entry 1

Allorto Richard T JR · CIK 0001395260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.

F2 · derivative.exercise_price: Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. The 50,000 restricted Medley LLC Units granted to Reporting Person are subject to the same vesting conditions and similar transfer restrictions as the original, now cancelled 50,000 RSUs.

F1 · kind: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.

F2 · kind: Pursuant to the Exchange Agreement dated September 23, 2014, among Issuer, Medley LLC and the holders of Medley LLC Units (the "Exchange Agreement"), each vested Medley LLC Unit may be exchanged for one share of Common Stock. The 50,000 restricted Medley LLC Units granted to Reporting Person are subject to the same vesting conditions and similar transfer restrictions as the original, now cancelled 50,000 RSUs.

F1 · derivative.exercise_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.

F1 · derivative.expiration_date: Reporting Person is an existing member and holds Class A Units of Medley LLC ("Medley LLC Units"). Issuer cancelled 50,000 unvested Restricted Stock Units ("RSUs") of Issuer, and in return, Reporting Person was granted 50,000 restricted Medley LLC Units. The RSUs were granted to Reporting Person on March 16, 2016, in connection with Reporting Person's services and, upon vesting, each RSU was payable in one share of Class A Common Stock, $0.01 par value per share of the Issuer (the "Common Stock"), or the cash equivalent thereof.