MDLM Pengajuan SEC - Medley Management Inc.- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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LEI	549300L5L700EFXAPW02
CIK	1611110

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Medley Management Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

January 20, 2022	SC 13G/A	MDLM / MEDLEY MGMT INC / AMERICAN FINANCIAL GROUP INC - MEDLEY MANAGEMENT INC. SCHEDULE 13G AMENDMENT NO. 7 Passive Investment SC 13G/A 1 medleydec312021.htm MEDLEY MANAGEMENT INC. SCHEDULE 13G AMENDMENT NO. 7 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 7)* MEDLEY MANAGEMENT INC. (Name of Issuer) Class A Common Stock, par valu
September 13, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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): September 9, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commissio
July 23, 2021	EX-99.25	EX-99.25 NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange ('NYSE' or the 'Exchange') hereby notifies the Securities and Exchange Commission (the 'Commission') of its intention to remove the entire class of the Class A Common Stock, $0.
July 13, 2021	8-K	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): July 7, 2021 MEDLEY MANAGEMENT IN 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): July 7, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fil
July 7, 2021	EX-99.1	IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Medley LLC,1 Debtor. Chapter 11 Case No. 21-10526 (KBO) COMBINED DISCLOSURE STATEMENT AND CHAPTER 11 PLAN OF REORGANIZATION AND WIND-DOWN OF MEDLEY LLC Dated: July 6, 2021 Jeffrey R. Waxman (DE Bar No. 4159) Eric J. Monzo (DE Bar No. 5214) Brya M. Keilson (DE Bar. No. 4643) MORRIS JAMES LLP 500 Delaware Avenue,
July 7, 2021	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events, Financial Statements and Exhibits 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): July 6, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fil
June 24, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 mman202106248k.htm FORM 8-K 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): June 18, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdictio
June 3, 2021	EX-10.1	Fifth Amended and Restated Limited Liability Company Agreement of Medley LLC, dated as of June 1, 2021. EX-10.1 2 ex254706.htm EXHIBIT 10.1 Exhibit 10.1 FIFTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF MEDLEY LLC Dated as of June 1, 2021 THE LIMITED LIABILITY COMPANY UNITS OF MEDLEY LLC HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED, THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN RELIANCE UPON EXEM
June 3, 2021	8-K	Financial Statements and Exhibits, Other Events 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): June 1, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fil
June 1, 2021	EX-99.1	Medley Management Inc. Receives NYSE Notice Regarding Delayed Form 10-Q Filing Exhibit 99.1 Medley Management Inc. Receives NYSE Notice Regarding Delayed Form 10-Q Filing NEW YORK, June 1, 2021 (GLOBE NEWSWIRE) ? Medley Management Inc. (NYSE: MDLY) (?MDLY? or the ?Company?) today announced that it received a notice from the New York Stock Exchange (the ?NYSE?) indicating that MDLY is not in compliance with Section 802.01E of the NYSE Listed Company Manual as a result of its
June 1, 2021	SC 13G/A	MDLY / Medley Management Inc / Taube Angelic Diaz - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 ? Exit Filing)* Medley Management Inc. (Name of Issuer) Class A common stock, $0.01 par value per share (Title of Class of Securities) 58503T106 (CUSIP Number) May 12, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box t
June 1, 2021	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Other Events 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): May 25, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fil
May 28, 2021	8-K	Other Events 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): May 27, 2021 Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36638 (State or other jurisdiction of incorporation) 47-1130638 (Commission Fil
May 17, 2021	NT 10-Q	UNITED STATES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Washington, D.
May 13, 2021	8-K	Other Events 8-K 1 ea140836-8kmedleymanagement.htm CURRENT REPORT 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): May 7, 2021 Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) 001-36638 Delaware 47-1130638 (Commissio
April 30, 2021	10-K/A	Annual Report - FORM 10-K/A 10-K/A 1 mman2021040510ka.htm FORM 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the trans
April 16, 2021	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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): April 14, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission F
April 16, 2021	EX-99.1	MEDLEY ANNOUNCES KEY EXECUTIVE PROMOTIONS EX-99.1 2 ex241671.htm EXHIBIT 99.1 Exhibit 99.1 MEDLEY ANNOUNCES KEY EXECUTIVE PROMOTIONS New York, New York - Medley Management Inc. (the “Company”, NYSE: MDLY) announced today the promotions of Howard Liao to Chief Executive Officer (“CEO”), Dean Crowe to President and David Richards to Chief Operating Officer effective May 3, 2021. Howard Liao succeeds co-CEOs Brook Taube and Seth Taube each o
March 31, 2021	EX-10.29	Director Agreement, dated as of February 9, 2021, by and between Medley Management Inc. and Peter Kravitz of Province LLC. Ex 10.29 DIRECTOR AGREEMENT THIS DIRECTOR AGREEMENT (this "Agreement"), effective as of February 9, 2021 (the "Effective Date"), is entered into by and between Medley Management Inc., a Delaware corporation (the "Company"), and Peter Kravitz of Province LLC ("Director"). The Company and Director desire to enter into this Agreement to set forth the terms and conditions of Director's service on the
March 31, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 mman202103198k.htm FORM 8-K 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): March 31, 2021 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdicti
March 31, 2021	10-K	Annual Report - FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley
March 31, 2021	EX-21.1	Subsidiaries of Medley Management Inc. Exhibit 21.1 List of Subsidiaries The following is a list of subsidiaries of the Company as of December 31, 2020: Medley Management Inc. Medley LLC Medley Capital LLC MCC Advisors LLC MOF II Management LLC MOF III Management LLC SIC Advisors LLC Medley SMA Advisors LLC MOF II GP LLC Medley GP LLC Medley GP Holdings LLC MOF III GP LLC MOF III Offshore GP LLC MCOF Management LLC Medley Seed Funding
March 31, 2021	EX-10.28	Form of January 2021 Nonparticipating Class A Restricted Stock Unit Grant Notice Ex 10.28 RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE MEDLEY MANAGEMENT INC. 2014 OMNIBUS INCENTIVE PLAN Medley Management Inc. (the ?Company?), pursuant to its 2014 Omnibus Incentive Plan (the ?Plan?), hereby grants to the Participant set forth below the number of Restricted Stock Units set forth below. The Restricted Stock Units are subject to all of the terms and conditions as set forth herein,
March 31, 2021	EX-4.6	Description of Capital Stock EX-4.6 2 ex238443.htm EXHIBIT 4.6 Exhibit 4.6 DESCRIPTION OF DEBT SECURITIES The following description of Medley LLC (“we”, “us”, or the “Company”) debt securities is only a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to the indenture dated as of August 9, 2016, between us and U.S. Bank National Association, as trustee (the “Trustee”), a
March 31, 2021	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS FOURTH QUARTER AND FULL YEAR 2020 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS FOURTH QUARTER AND FULL YEAR 2020 RESULTS NEW YORK, March 31, 2021 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its fourth quarter and year ended December 31, 2020. Summary ? Fee earning assets under management were $1.3 billion as of December 31, 2020 ? Total assets under management were $2.9 billion as
March 31, 2021	EX-10.27	Forms of January 2021 Participating & Nonparticipating Class A Restricted Stock Unit Grant Notice. EX-10.27 3 ex238556.htm EXHIBIT 10.27 Ex 10.27 RESTRICTED STOCK UNIT GRANT NOTICE UNDER THE MEDLEY MANAGEMENT INC. 2014 OMNIBUS INCENTIVE PLAN Medley Management Inc. (the “Company”), pursuant to its 2014 Omnibus Incentive Plan (the “Plan”), hereby grants to the Participant set forth below the number of Restricted Stock Units set forth below. The Restricted Stock Units are subject to all of the ter
March 12, 2021	PRE 14A	- FORM PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defi
March 8, 2021	EX-99.1	IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Medley LLC, 1 Debtor. Chapter 11 Case No. 21-10526 CHAPTER 11 PLAN OF REORGANIZATION OF MEDLEY LLC THIS CHAPTER 11 PLAN IS BEING SOLICITED FOR ACCEPTANCE OR REJECTION IN ACCORDANCE WITH SECTION 1125 OF THE BANKRUPTCY CODE AND WITHIN THE MEANING OF SECTION 1126 OF THE BANKRUPTCY CODE. THIS CHAPTER 11 PLAN WILL BE
March 8, 2021	8-K	Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Other Events 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): March 7, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fi
March 8, 2021	EX-99.2	IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EX-99.2 3 ex232311.htm EXHIBIT 99.2 Exhibit 99.2 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Medley LLC, Debtor. Chapter 11 Case No. 21-10526 DISCLOSURE STATEMENT FOR THE CHAPTER 11 PLAN OF REORGANIZATION OF MEDLEY LLC Eric J. Monzo (DE Bar No. 5214) Brya M. Keilson (DE Bar No. 4643) MORRIS JAMES LLP 500 Delaware Avenue; Suite 1500 Wilmington, DE 19801 Telephone: (302
February 16, 2021	8-K	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement 8-K 1 mman202102168k.htm FORM 8-K 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): February 16, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdi
February 9, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events 8-K 1 mman202102098k.htm FORM 8-K 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): February 3, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdic
February 9, 2021	EX-10.1	First Amendment, dated as of February 3, 2021, to Fourth Amended and Restated Limited Liability Company Agreement of Medley LLC dated as of September 23, 2014. Exhibit 10.1 FIRST AMENDMENT TO FOURTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF MEDLEY LLC THIS FIRST AMENDMENT TO FOURTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT (this “Amendment”) of Medley LLC, a Delaware limited liability company (the “Company”), is made effective as of February 3, 2021. BACKGROUND WHEREAS, Medley Management Inc. (the “Managing Member”) and F
February 4, 2021	SC 13G/A	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)1 MEDLEY MANAGEMENT, INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)1 MEDLEY MANAGEMENT, INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t
February 2, 2021	8-K	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement - FORM 8-K 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): February 1, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission
February 2, 2021	SC 13G/A	SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 6)* SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 6)* MEDLEY MANAGEMENT INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) December
January 27, 2021	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __)* Medley Management Inc. (Name of Issuer) Class A common stock, $0.01 par value per share (Title of Class UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Medley Management Inc. (Name of Issuer) Class A common stock, $0.01 par value per share (Title of Class of Securities) 58503T106 (CUSIP Number) January 17, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate
January 20, 2021	EX-1	JOINT FILING AGREEMENT EX-1 2 medley13djan192021ex1.htm JOINT FILING AGREEMENT JOINT FILING AGREEMENT This Agreement will confirm the agreement by and among the undersigned that the Schedule 13D filed with the Securities and Exchange Commission on the date hereof with respect to the beneficial ownership by the undersigned of the common stock, par value $0.01 per share, of Medley Management Inc. is being filed, and all a
January 20, 2021	SC 13D	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* Medley Management Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) 280 Park Avenue, 6th Floor East New York, New York 10017 (212) 759-0777 (Name, Address and Telephone Number of P
January 20, 2021	EX-1	JOINT FILING AGREEMENT JOINT FILING AGREEMENT This Agreement will confirm the agreement by and among the undersigned that the Schedule 13D filed with the Securities and Exchange Commission on the date hereof with respect to the beneficial ownership by the undersigned of the common stock, par value $0.
January 20, 2021	SC 13D	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* Medley Management Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) 280 Park Avenue, 6th Floor East New York, New York 10017 (212) 759-0777 (Name, Address and Telephone Number of P
January 20, 2021	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SC 13G 1 medley13gjan192021.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Medley Management Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) January 19, 2021 (Date of Event Which Requires Filing of this Statement)
January 20, 2021	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13-1(k) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of them of a statement on Schedule 13G (including amendments thereto) with respect to the Class A Common Stock, par value $0.01 per share, of Medley Management Inc. and further agree that this Joint Filing Agreement b
January 19, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Unregistered Sales of Equity Securities, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement 8-K 1 mman202101188k.htm FORM 8-K 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): January 15, 2021 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdic
November 24, 2020	8-K	Other Events 8-K 1 a8kmdlyima112420.htm 8-K 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 18, 2020 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdicti
November 17, 2020	S-8	- S-8 As filed with the Securities and Exchange Commission on November 16, 2020 Registration No.
November 16, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 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 16, 2020 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
November 16, 2020	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS THIRD QUARTER 2020 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS THIRD QUARTER 2020 RESULTS NEW YORK, November 16, 2020 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) ("MDLY" or the "Company") today reported its financial results for its third quarter ended September 30, 2020. All share and per share results reflect the 1-for-10 reverse stock split which was effective on October 30, 2020. Summary • Fee earning
November 16, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Managemen
November 16, 2020	EX-10.1	Separation Agreement, dated August 13, 2020 between Medley LLC and John Fredericks (incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36638) filed on November 16, 2020). Exhibit 10.1 August 14, 2020 VIA E-MAIL John D. Fredericks Re: Terms of Separation Dear John: This letter confirms the agreement (this “Agreement”) between you and Medley LLC (the “Company”) regarding the terms of your separation and offers you certain separation benefits in exchange for your agreement to the obligations set forth below and your other promises herein. 1.Separation Date. August 11,
October 22, 2020	EX-99.1	Medley Management Inc. Announces One-for-Ten Reverse Stock Split; Class A Common Stock to Begin Trading on a Split-Adjusted Basis at Market Open on November 2, 2020 Exhibit 99.1 Medley Management Inc. Announces One-for-Ten Reverse Stock Split; Class A Common Stock to Begin Trading on a Split-Adjusted Basis at Market Open on November 2, 2020 NEW YORK, NY, October 22, 2020 /PRNewswire/ - Medley Management Inc. (NYSE: MDLY) (“MDLY” or the “Company”) announced today that, following the authorization granted by the stockholders at the Company’s 2020 Annual Meeting
October 22, 2020	EX-3.1	Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Medley Management Inc. implementing the Reverse Stock Split (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36638) filed on October 22, 2020). Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF MEDLEY MANAGEMENT INC. Pursuant to Section 228 and 242 of the General Corporation Law of the State of Delaware MEDLEY MANAGEMENT INC. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as f
October 22, 2020	EX-3.2	Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Medley Management Inc. implementing the Authorized Share Reduction (incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on Form 8-K (File No. 001-36638) filed on October 22, 2020). Exhibit 3.2 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF MEDLEY MANAGEMENT INC. Pursuant to Section 228 and 242 of the General Corporation Law of the State of Delaware MEDLEY MANAGEMENT INC. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as f
October 22, 2020	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders - 8-K 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): October 22, 2020 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission
September 22, 2020	DEF 14A	Medley Management Inc. 2014 Omnibus Incentive Plan, as amended (incorporated by reference to Annex C to the Registrant’s Definitive Proxy Statement on Schedule 14A (File No. 001-36638) filed on September 22, 2020). UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State
September 1, 2020	PRE 14A	- PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
August 14, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management Inc
August 14, 2020	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS SECOND QUARTER 2020 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS SECOND QUARTER 2020 RESULTS NEW YORK, August 14, 2020 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) ("MDLY" or the "Company") today reported its financial results for its second quarter ended June 30, 2020. Summary • Fee earning assets under management were $1.7 billion as of June 30, 2020 • Total assets under management were $3.6 billion as of
August 14, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 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): August 14, 2020 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (I
May 15, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management In
May 15, 2020	EX-99	MEDLEY MANAGEMENT INC. REPORTS FIRST QUARTER 2020 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS FIRST QUARTER 2020 RESULTS NEW YORK, May 15, 2020 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) ("MDLY" or the "Company") today reported its financial results for its first quarter ended March 31, 2020. Summary • Fee earning assets under management were $1.7 billion as of March 31, 2020 • Total assets under management were $3.8 billion as of Mar
May 15, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 15, 2020 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IRS
May 5, 2020	8-K	Termination of a Material Definitive Agreement, Financial Statements and Exhibits 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): May 5, 2020 (May 1, 2020) Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) 001-36638 Delaware 47-1130638 (Commission File Number) (State or other jurisdic
May 5, 2020	EX-99.1	Medley Management Inc. Announces Termination of Merger Exhibit 99.1 Medley Management Inc. Announces Termination of Merger NEW YORK, May 5, 2020 /PRNewswire/ - Medley Management Inc. (NYSE: MDLY) (“MDLY” or the “Company”) today announced that is has received a notice of termination from Sierra Income Corporation (“Sierra”) of its agreement to merge with MDLY pursuant to the Amended and Restated Agreement and Plan of Merger, dated as of July 29, 2019,
April 29, 2020	10-K/A	Annual Report - 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medle
April 23, 2020	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits 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): April 23, 2020 (April 17, 2020) Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission
April 23, 2020	EX-99.1	Medley Management Inc. Announces Receipt Of NYSE Continued Listing Standard Notice EX-99.1 2 exhibit991-nysecontinuedli.htm EXHIBIT 99.1 Exhibit 99.1 Medley Management Inc. Announces Receipt Of NYSE Continued Listing Standard Notice NEW YORK, April 23, 2020 /PRNewswire/ - Medley Management Inc. (NYSE: MDLY) (the “Company”) announced today that, on April 17, 2020, the Company received written notice (the “Notice”) from the New York Stock Exchange (the “NYSE”) that the Company doe
March 30, 2020	EX-21.1	Subsidiaries of Medley Management Inc. EX-21.1 2 mdly-123119xex211.htm EXHIBIT 21.1 Exhibit 21.1 List of Subsidiaries The following is a list of subsidiaries of the Company as of December 31, 2019: Name of Subsidiary Jurisdiction MCC Advisors LLC Delaware MCOF GP LLC Delaware MCOF Management LLC Delaware Medley (Aspect) GP LLC Delaware Medley (Aspect B) GP LLC Delaware Medley (Aspect) Management LLC Delaware Medley Avantor Investors LL
March 30, 2020	10-K	MDLY / Medley Management, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management Inc. (E
March 30, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 27, 2020 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IR
March 30, 2020	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS FOURTH QUARTER AND FULL YEAR 2019 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS FOURTH QUARTER AND FULL YEAR 2019 RESULTS NEW YORK, March 27, 2019 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its fourth quarter and year ended December 31, 2019. Summary • Fee earning assets under management were $2.1 billion as of December 31, 2019 • Total assets under management were $4.1 billion as
February 13, 2020	SC 13G/A	MDLY / Medley Management, Inc. / Springhouse Capital (Master), L.P. - SC 13G/A Passive Investment SC 13G/A 1 d856427dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)1 MEDLEY MANAGEMENT, INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the
February 13, 2020	SC 13G/A	MDLY / Medley Management, Inc. / Weiss Asset Management LP Passive Investment SC 13G/A 1 mdly13ga31dec2019.htm =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.2)* MEDLEY MANAGEMENT INC. - (Name of Issuer) Class A common stock, $0.01 par value per share - (Title of Class of Securities) 58503T106 - (CUSI
February 10, 2020	SC 13G/A	MDLY / Medley Management, Inc. / JACOBS ASSET MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
January 31, 2020	SC 13G/A	MDLY / Medley Management, Inc. / AMERICAN FINANCIAL GROUP INC - MEDLEY MANAGEMENT INC. SCHEDULE 13G AMENDMENT NO. 5 Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 5)* MEDLEY MANAGEMENT INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) December
November 21, 2019	SC 13E3/A	MDLY / Medley Management, Inc. / Medley Management Inc. - AMENDMENT NO. 3 TO FORM SC 13E SC 13E3/A 1 sc13e31118a3medleymanage.htm AMENDMENT NO. 3 TO FORM SC 13E SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT Under Section 13(e) of the Securities Exchange Act of 1934 MEDLEY MANAGEMENT INC. (Name of the Issuer) Medley Management Inc. Sierra Income Corporation Sierra Management, Inc. SIC Advisors LLC Medley LLC
November 14, 2019	10-Q	MDLY / Medley Management, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Managemen
November 14, 2019	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS THIRD QUARTER 2019 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS THIRD QUARTER 2019 RESULTS NEW YORK, November 14, 2019 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its third quarter ended September 30, 2019. Highlights • Fee earning assets under management were $2.3 billion as of September 30, 2019 • Total assets under management were $4.3 billion as of September 30,
November 14, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
October 29, 2019	8-K	Other Events 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): October 28, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (
October 15, 2019	425	MDLY / Medley Management, Inc. 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 30, 2019	EX-99.(C)(V)	(c)(v) Broadhaven Presentation, dated July 28, 2019 Exhibit 99(C)(v)
August 30, 2019	EX-99.(C)(III)	(c)(iii) Barclays Presentation, dated July 24, 2019 EX-99.(C)(III) 2 sc13e31118a2ex99c-3medley.htm BARCLAYS PRESENTATION, DATED JULY 24, 2019 Exhibit 99(C)(iii)
August 30, 2019	EX-99.(C)(IV)	(c)(iv) Barclays Presentation, dated July 28, 2019 Exhibit 99(C)(iv)
August 30, 2019	SC 13E3/A	MDLY / Medley Management, Inc. / Medley Management Inc. - AMENDMENT NO. 2 TO SCHEDULE 13E3 SC 13E3/A 1 sc13e31118a2medleymanage.htm AMENDMENT NO. 2 TO SCHEDULE 13E3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT Under Section 13(e) of the Securities Exchange Act of 1934 MEDLEY MANAGEMENT INC. (Name of the Issuer) Medley Management Inc. Sierra Income Corporation Sierra Management, Inc. SIC Advisors LLC Medley L
August 16, 2019	SC 13G/A	MDLY / Medley Management, Inc. / JACOBS ASSET MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
August 14, 2019	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS SECOND QUARTER 2019 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS SECOND QUARTER 2019 RESULTS NEW YORK, August 14, 2019 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its second quarter ended June 30, 2019. Highlights • Fee earning assets under management were $2.5 billion as of June 30, 2019 • Total assets under management were $4.4 billion as of June 30, 2019 • Total r
August 14, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 14, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (I
August 14, 2019	10-Q	MDLY / Medley Management, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management Inc
August 2, 2019	425	MDLY / Medley Management, Inc. 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 2, 2019	425	MDLY / Medley Management, Inc. 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 2, 2019	DEFA14A	(a)(2)(lxv) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on August 2, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
August 2, 2019	EX-2.1	Amended and Restated Agreement and Plan of Merger, dated as of July 29, 2019, by and among Medley Management Inc., Sierra Income Corporation and Sierra Management, Inc. (incorporated by reference to Exhibit 2.1 to Medley Management Inc.’s Current Report on Form 8-K (File No. 001-36638) filed on August 2, 2019). Exhibit 2.1 EXECUTION COPY AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER by and among MEDLEY MANAGEMENT INC. SIERRA INCOME CORPORATION and SIERRA MANAGEMENT, INC. DATED AS OF JULY 29, 2019 TABLE OF CONTENTS ARTICLE I DEFINED TERMS 3 ARTICLE II THE MERGER 14 ARTICLE III CLOSING; DELIVERY OF MERGER CONSIDERATION 19 ARTICLE IV REPRESENTATIONS AND WARRANTIES OF MDLY 22 ARTICLE V REPRESENTATIONS AN
August 2, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): August 2, 2019 (July 29, 2019) Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) 001-36638 Delaware 47-1130638 (Commission File Number) (State or other jur
July 29, 2019	DEFA14A	(a)(2)(lxiv) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on July 29, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
July 29, 2019	425	MDLY / Medley Management, Inc. 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
July 29, 2019	425	MDLY / Medley Management, Inc. 425 - Merger Prospectus - FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
July 29, 2019	EX-99.1	Sierra, MCC and MDLY amend MERGER Agreements WHICH WOULD CREATE LEADING INTERNALLY MANAGED BDC WITH enhanced scale, diversified credit investment platform and $4.7 billion in assets under management Transactions Unanimously Approved by Sierra, MCC an Exhibit 99.1 Sierra, MCC and MDLY amend MERGER Agreements WHICH WOULD CREATE LEADING INTERNALLY MANAGED BDC WITH enhanced scale, diversified credit investment platform and $4.7 billion in assets under management Transactions Unanimously Approved by Sierra, MCC and MDLY Special Committees and Boards of Directors NEW YORK (July 29, 2019) – Sierra Income Corporation (“Sierra” or the “Company”), Medle
July 29, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events 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): July 29, 2019 Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fi
July 29, 2019	EX-99.2	Investor Presentation Sierra Income Corporation, Medley Capital Corporation and Medley Management Inc. Merger Update July 29, 2019 This presentation contains “forward - looking” statements, including statements regarding the proposed transactions . S Exhibit 99.2 Investor Presentation Sierra Income Corporation, Medley Capital Corporation and Medley Management Inc. Merger Update July 29, 2019 This presentation contains “forward - looking” statements, including statements regarding the proposed transactions . Such forward - looking statements reflect current views with respect to future events and financial performance, and each of Sierra Income
June 4, 2019	S-8	MDLY / Medley Management, Inc. S-8 - - S-8 As filed with the Securities and Exchange Commission on June 4, 2019 Registration No.
May 31, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders 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): May 29, 2019 MEDLEY MANAGEMENT INC. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fil
May 15, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 15, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IRS
May 15, 2019	10-Q	MDLY / Medley Management, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management In
May 15, 2019	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS FIRST QUARTER 2019 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS FIRST QUARTER 2019 RESULTS NEW YORK, May 15, 2019 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its first quarter ended March 31, 2019 and will host an earnings conference call and audio webcast Thursday, May 16th at 10:00 a.m. (Eastern Time). Highlights • Fee earning assets under management were $2.7 bil
April 30, 2019	DEF 14A	Medley Management Inc. 2014 Omnibus Incentive Plan, as amended (incorporated by reference to Annexure A of the Registrant's Definitive Proxy Statement on Schedule 14A (File No. 001-36638) filed on April 30, 2019). UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definitive Proxy State
April 18, 2019	DEFA14A	(a)(2)(lxi) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on April 18, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
April 18, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Merger Prospectus) 425 1 f425041719bsierraincome.htm FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc. Commission File No. 001-36638 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15
April 18, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Merger Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
April 18, 2019	8-K	Financial Statements and Exhibits, Other Events 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): April 18, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission F
April 18, 2019	EX-99.1	Medley Capital Corporation, Sierra Income Corporation and Medley Management Inc. Announce Postponement of Special Meetings of Stockholders Exhibit 99.1 Medley Capital Corporation, Sierra Income Corporation and Medley Management Inc. Announce Postponement of Special Meetings of Stockholders NEW YORK — April 18, 2019 — Medley Capital Corporation (NYSE: MCC; TASE: MCC) (“MCC”), Sierra Income Corporation (“Sierra”) and Medley Management Inc. (NYSE: MDLY) (“MDLY”) today announced that they have postponed the special meetings of stockholde
April 17, 2019	DEFA14A	(a)(2)(lviii) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on April 17, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
April 17, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Merger Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
April 17, 2019	EX-10.1	Settlement Term Sheet dated as of April 15, 2019 regarding the consolidated action styled In re Medley Capital Corporation Stockholder Litigation, C.A. No. 2019-0100-KSJM (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36638), filed on April 15, 2019). Exhibit 10.1 SETTLEMENT TERM SHEET 1. Introduction a) This binding term sheet (“Term Sheet”), dated as of April 15, 2019, is entered into by the parties that are signatories hereto in connection with the consolidated action styled In re Medley Capital Corporation Stockholder Litigation, C.A. No. 2019-0100-KSJM (the “Class Action”). b) This Term Sheet memorializes an agreement-in-principle between
April 17, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): April 17, 2019 (April 15, 2019) Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporati
April 2, 2019	8-K	Other Events, Shareholder Director Nominations 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): March 27, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IR
April 1, 2019	EX-99.1	MEDLEY MANAGEMENT INC. DECLARES $0.03 PER SHARE DIVIDEND, REPORTS FOURTH QUARTER AND FULL YEAR 2018 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. DECLARES $0.03 PER SHARE DIVIDEND, REPORTS FOURTH QUARTER AND FULL YEAR 2018 RESULTS NEW YORK, April 1, 2019 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its fourth quarter and year ended December 31, 2018 and will host an earnings conference call and audio webcast Tuesday, April 2 at 10:00 a.m. (Eastern Time).
April 1, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 1, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IRS
April 1, 2019	10-K	MDLY / Medley Management, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management Inc. (E
April 1, 2019	EX-10.38	Amendment Number Four to Credit Agreement and Waiver, dated as of March 28, 2019, regarding the Credit Agreement, dated as of August 19, 2014, among Medley LLC, the lenders party thereto and City National Bank (incorporated by reference to Exhibit 10.38 to the Registrant’s Annual Report on Form 10-K (File No. 001-36638) filed on April 1, 2019). cnbmedleyamendmentnumber
April 1, 2019	EX-21.1	Subsidiaries of Medley Management Inc. Exhibit 21.1 List of Subsidiaries The following is a list of subsidiaries of the Company as of December 31, 2018: Name of Subsidiary Jurisdiction MCC Advisors LLC Delaware MCOF GP LLC Delaware MCOF Management LLC Delaware Medley (Aspect) GP LLC Delaware Medley (Aspect B) GP LLC Delaware Medley (Aspect) Management LLC Delaware Medley Avantor Investors LLC Delaware Medley Capital LLC Delaware Medley
April 1, 2019	EX-10.31	Form of Amended and Restated Limited Liability Company Agreement for the plan LLCs associated with the Medley Tactical Opportunities Carried Interest Allocation Plan (incorporated by reference to Exhibit 10.31 to the Registrant’s Annual Report on Form 10-K (File No. 001-36638) filed on April 1, 2019). Exhibit 10.31 EXHIBIT A Amended and Restated Limited Liability Company Agreement of MEDLEY REALD INVESTORS LLC Dated as of November [ ], 2018 i NOTICE NEITHER MEDLEY REALD INVESTORS LLC NOR THE MEMBER INTERESTS THEREIN HAVE BEEN OR WILL BE REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, THE INVESTMENT COMPANY ACT OF 1940, AS AMENDED, THE SECURITIES LAWS OF ANY OF THE STATES OF THE UNITED
April 1, 2019	EX-10.30	Form of Award Letter for the Medley Tactical Opportunities Carried Interest Allocation Plan (incorporated by reference to Exhibit 10.30 to the Registrant’s Annual Report on Form 10-K (File No. 001-36638) filed on April 1, 2019). Exhibit 10.30 Medley Capital LLC 280 Park Avenue, 6th Floor East New York, NY 10017 November [], 2018 [Name of recipient] [Address] Re: [Insert LLC name] Dear [Name]: Subject to your execution of this letter agreement, which shall be considered an “Award Letter” for purposes of the Company Agreement (as defined below) (this “Award Letter”), Medley Capital LLC, a Delaware limited liability company
March 29, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 29, 2019	DEFA14A	(a)(2)(lv) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 29, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
March 29, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 29, 2019	8-K	Other Events, Financial Statements and Exhibits 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): March 29, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission F
March 29, 2019	EX-99.1	Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on April 19, 2019 Exhibit 99.1 Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on April 19, 2019 NEW YORK — March 29, 2019 — Medley Capital Corporation (NYSE: MCC, “MCC”) (TASE: MCC), Sierra Income Corporation (“Sierra”), and Medley Management Inc. (NYSE: MDLY, “MDLY” or “Medley”) today announced that each Special Meeting of Shareholders of MCC, Sie
March 29, 2019	DEFA14A	(a)(2)(liii) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 29, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
March 29, 2019	425	MDLY / Medley Management, Inc. FILING UNDER SECURITIES ACT RULE 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 28, 2019	DEFA14A	(a)(2)(li) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 29, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
March 28, 2019	425	MDLY / Medley Management, Inc. FILING UNDER SECURITIES ACT RULE 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 15, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) 425 1 f425031519sierrafmdly.htm FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc. Commission File No. 001-36638 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d
March 15, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 15, 2019	DEFA14A	(a)(2)(xlvii) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 18, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
March 15, 2019	8-K	Financial Statements and Exhibits, Other Events 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): March 15, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission F
March 15, 2019	EX-99.1	Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on March 29, 2019 EX-99.1 2 f8k031519cex99-1mdly.htm PRESS RELEASE DATED MARCH 15, 2019 Exhibit 99.1 Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on March 29, 2019 NEW YORK — March 15, 2019 — Medley Capital Corporation (NYSE: MCC, “MCC”) (TASE: MCC), Sierra Income Corporation (“Sierra”), and Medley Management Inc. (NYSE: MDLY, “MDLY” or “Medley”)
March 15, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 15, 2019	DEFA14A	(a)(2)(xlv) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 15, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
March 15, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 15, 2019	DEFA14A	(a)(2)(xliii) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 15, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
March 8, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 8, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 8, 2019	DEFA14A	(a)(2)(xl) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 8, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
March 8, 2019	8-K	Financial Statements and Exhibits, Other Events 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): March 8, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission Fi
March 8, 2019	EX-99.1	Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on March 15, 2019 Exhibit 99.1 Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on March 15, 2019 NEW YORK — March 8, 2019 — Medley Capital Corporation (NYSE: MCC, “MCC”) (TASE: MCC), Sierra Income Corporation (“Sierra”), and Medley Management Inc. (NYSE: MDLY, “MDLY” or “Medley”) today announced that each Special Meeting of Shareholders of MCC, Sier
March 8, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
March 8, 2019	DEFA14A	(a)(2)(xxxviii) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on March 8, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
February 14, 2019	SC 13G/A	MDLY / Medley Management, Inc. / Weiss Asset Management LP Passive Investment SC 13G/A 1 mdly13ga31dec2018.htm =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* MEDLEY MANAGEMENT INC. - (Name of Issuer) Class A common stock, par value $0.01 per share - (Title of Class of Securities) 58503T106 - (CUS
February 14, 2019	SC 13G	MDLY / Medley Management, Inc. / Springhouse Capital (Master), L.P. - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )1 MEDLEY MANAGEMENT, INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) February 4, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r
February 13, 2019	SC 13G/A	MDLY / Medley Management, Inc. / Jam Partners, L.p. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
February 13, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
February 8, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
February 8, 2019	DEFA14A	(a)(2)(xxxv) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on February 8, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy State
February 8, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
February 8, 2019	8-K	Financial Statements and Exhibits, Other Events 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): February 8, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission
February 8, 2019	EX-99.1	Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on March 8, 2019 Exhibit 99.1 Medley Capital Corp., Sierra Income Corp. and Medley Management Inc. to Reconvene Special Meetings of Shareholders on March 8, 2019 NEW YORK — February 8, 2019 — Medley Capital Corporation (NYSE: MCC, "MCC") (TASE: MCC), Sierra Income Corporation ("Sierra"), and Medley Management Inc. (NYSE: MDLY, "MDLY" or "Medley") today announced that each Special Meeting of Shareholders of MCC, Si
February 6, 2019	DEFA14A	(a)(2)(xxxi) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on February 6, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
February 6, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
February 6, 2019	DEFA14A	(a)(2)(xxxiii) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on February 6, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
February 6, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
February 5, 2019	8-K	Other Events 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): February 5, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of incorporation) (Commission
February 5, 2019	DEFA14A	(a)(2)(xxix) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on February 5, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
February 5, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 30, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) 425 1 f425013019sierrabmdly.htm FORM 425 Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc. Commission File No. 001-36638 Alliance Advisors Shareholder Services Department January 30, 2019 URGENT Re: Your Investment in Sierra Income Corporation Dea
January 30, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 28, 2019	425	MDLY / Medley Management, Inc. FILING UNDER SECURITIES ACT RULE 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 25, 2019	SC 13G/A	MDLY / Medley Management, Inc. / AMERICAN FINANCIAL GROUP INC - SCHEDULE 13G AMENDMENT NO. 4 MEDLEY MANAGEMENT INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 4)* MEDLEY MANAGEMENT INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) December
January 23, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 18, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 17, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 17, 2019	DEFA14A	(a)(2)(xx) Additional Definitive Proxy Materials filed (incorporated herein by reference to MDLY’s Definitive Proxy Statement filed on January 17, 2019)** UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State
January 17, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 16, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 11, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 10, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
January 7, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Mana
January 4, 2019	8-K	MDLY / Medley Management, Inc. 8-K (Current Report) 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): January 2, 2019 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (I
January 2, 2019	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc. Commission File No. 001-36638
December 28, 2018	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
December 28, 2018	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
December 26, 2018	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
December 26, 2018	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
December 26, 2018	425	MDLY / Medley Management, Inc. FORM 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
December 21, 2018	425	MDLX / Medley LLC 8-K (Prospectus) 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): December 18, 2018 MEDLEY LLC (Exact name of registrant as specified in its charter) Delaware 001-37857 27-2437343 (State or other jurisdiction of (Commission File Number) (IRS Employe
December 21, 2018	EX-10.1	December 18, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Waiver Letter (the “Waiver Letter”) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented o waiverletterexecutionver December 18, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Waiver Letter (the “Waiver Letter”) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), by and among Medley LLC, a Delaware limited liability compan
December 21, 2018	8-K	MDLY / Medley Management, Inc. 8-K (Current Report) 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): December 18, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
December 21, 2018	EX-99.1	Medley Committed Over $675 Million to U.S. Middle Market Companies in the First Nine Months of 2018 Medley Committed Over $675 Million to U.S. Middle Market Companies in the First Nine Months of 2018 NEW YORK, (December 21, 2018) - Medley Management Inc. (NYSE:MDLY), an alternative asset management firm, today announced that it committed over $675 million of capital to U.S. middle market companies in the first nine months of 2018. Investments include: • A senior secured 1st lien loan to a manufa
December 21, 2018	EX-10.1	Waiver Letter, dated as of December 18, 2018, regarding the Credit Agreement, dated as of August 19, 2014, among Medley LLC, the lenders party thereto and City National Bank (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36638) filed on December 24, 2018). waiverletterexecutionver December 18, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Waiver Letter (the “Waiver Letter”) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), by and among Medley LLC, a Delaware limited liability compan
December 21, 2018	EX-10.1	December 18, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Waiver Letter (the “Waiver Letter”) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented o waiverletterexecutionver December 18, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Waiver Letter (the “Waiver Letter”) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), by and among Medley LLC, a Delaware limited liability compan
December 21, 2018	EX-99.1	Medley Committed Over $675 Million to U.S. Middle Market Companies in the First Nine Months of 2018 Medley Committed Over $675 Million to U.S. Middle Market Companies in the First Nine Months of 2018 NEW YORK, (December 21, 2018) - Medley Management Inc. (NYSE:MDLY), an alternative asset management firm, today announced that it committed over $675 million of capital to U.S. middle market companies in the first nine months of 2018. Investments include: • A senior secured 1st lien loan to a manufa
December 21, 2018	425	(a)(2)(viii) Prospectus filed pursuant to Rule 425 (incorporated herein by reference to MDLY’s Prospectus filed pursuant to Rule 425 on December 24, 2018)** 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): December 18, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
December 21, 2018	DEFM14A	MDLY / Medley Management, Inc. DEFM14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Definitive Proxy State
December 21, 2018	SC 13E3/A	MDLY / Medley Management, Inc. / Medley Management Inc. - AMENDMENT NO. 1 TO SCHEDULE 13E-3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT Under Section 13(e) of the Securities Exchange Act of 1934 MEDLEY MANAGEMENT INC. (Name of the Issuer) Medley Management Inc. Sierra Income Corporation Sierra Management, Inc. SIC Advisors LLC Medley LLC Medley Group LLC Seth Taube Brook Taube (Name of Persons Filing Stateme
December 21, 2018	EX-99.(C)(IV)	(c)(iv) Goldman Sachs Presentation, dated June 18, 2018 Exhibit (c)(iv)
December 21, 2018	EX-99.(C)(VII)	(c)(vii) Goldman Sachs Presentation, dated August 9, 2018 Exhibit (c)(vii)
December 21, 2018	EX-99.(C)(VIII)	(c)(viii) Broadhaven Capital Partners Presentation, dated August 9, 2018 Exhibit (c)(viii)
November 20, 2018	EX-10.2	November 14, 2018 Medley LLC 280 Park A venue, 6th Floor East New York, NY 10017 Re: Waiver to Credit Agreement Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherw cnbmedleywaivertocredita November 14, 2018 Medley LLC 280 Park A venue, 6th Floor East New York, NY 10017 Re: Waiver to Credit Agreement Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the "Credit Agreement"), by and among Medley LLC, a Delaware limited liability company (the "Borrower" or "you"), the lenders from time to time party thereto (the "Lenders"), and City National Bank, a national banking association, in its capacity as the administrative agent (the "Administrative Agent") and in its capacity as the collateral agent for the Lenders (the "Administrative Agent" and the "Collateral Agent", collectively "Agents").
November 20, 2018	EX-10.1	November 14, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Letter Agreement (the "Letter Agreemene) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemen cnbmedleyletteragreement November 14, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Letter Agreement (the "Letter Agreemene) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the "Credit Agreement"), by and among Medley LLC, a Delaware limited liability c
November 20, 2018	425	MDLX / Medley LLC 8-K (Prospectus) 425 1 medleyllc8k-cnbletters.htm 8-K 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, 2018 MEDLEY LLC (Exact name of registrant as specified in its charter) Delaware 001-37857 27-2437343 (State or other jurisdiction of
November 20, 2018	EX-10.3	SUPPLEMENT NO. 4 TO GUARANTEE AND COLLATERAL AGREEMENT SUPPLEMENT NO. 4 (this “Supplement”) dated as of November 14, 2018 to the Guarantee and Collateral Agreement dated as of August 19, 2014 (as amended, supplemented or otherwise modified from time cnbmedleysupplementno4to SUPPLEMENT NO. 4 TO GUARANTEE AND COLLATERAL AGREEMENT SUPPLEMENT NO. 4 (this “Supplement”) dated as of November 14, 2018 to the Guarantee and Collateral Agreement dated as of August 19, 2014 (as amended, supplemented or otherwise modified from time to time, the “Guarantee and Collateral Agreement”), among MEDLEY LLC, a Delaware limited liability company (the “Borrower”),
November 20, 2018	EX-10.1	Letter Agreement, dated as of November 14, 2018, regarding the Credit Agreement, dated as of August 19, 2014, among Medley LLC, the lenders party thereto and City National Bank (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K (File No. 001-36638) filed on November 20, 2018). cnbmedleyletteragreement November 14, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Letter Agreement (the "Letter Agreemene) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the "Credit Agreement"), by and among Medley LLC, a Delaware limited liability c
November 20, 2018	8-K	MDLY / Medley Management, Inc. 8-K (Current Report) 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, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
November 20, 2018	EX-10.3	Supplement No. 4, dated as of November 14, 2018, to Guarantee and Collateral Agreement, dated as of August 19, 2014, among Medley LLC, the subsidiary guarantors party thereto and City National Bank (incorporated by reference to Exhibit 10.3 to the Registrant’s Current Report on Form 8-K (File No. 001-36638) filed on November 20, 2018). EX-10.3 4 cnbmedleysupplementno4to.htm EXHIBIT 10.3 SUPPLEMENT NO. 4 TO GUARANTEE AND COLLATERAL AGREEMENT SUPPLEMENT NO. 4 (this “Supplement”) dated as of November 14, 2018 to the Guarantee and Collateral Agreement dated as of August 19, 2014 (as amended, supplemented or otherwise modified from time to time, the “Guarantee and Collateral Agreement”), among MEDLEY LLC, a Delaware limited liability
November 20, 2018	EX-10.2	Waiver, dated as of November 14, 2018, to the Credit Agreement, dated as of August 19, 2014, among Medley LLC, the lenders party thereto and City National Bank (incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K (File No. 001-36638) filed on November 20, 2018). EX-10.2 3 cnbmedleywaivertocredita.htm EXHIBIT 10.2 November 14, 2018 Medley LLC 280 Park A venue, 6th Floor East New York, NY 10017 Re: Waiver to Credit Agreement Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the "Credit Agreement"), by and among Medley LLC, a Delaware limit
November 20, 2018	EX-10.1	November 14, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Letter Agreement (the "Letter Agreemene) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemen cnbmedleyletteragreement November 14, 2018 Medley LLC 280 Park Avenue, 6th Floor East New York, NY 10017 Re: Letter Agreement (the "Letter Agreemene) Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the "Credit Agreement"), by and among Medley LLC, a Delaware limited liability c
November 20, 2018	EX-10.3	SUPPLEMENT NO. 4 TO GUARANTEE AND COLLATERAL AGREEMENT SUPPLEMENT NO. 4 (this “Supplement”) dated as of November 14, 2018 to the Guarantee and Collateral Agreement dated as of August 19, 2014 (as amended, supplemented or otherwise modified from time cnbmedleysupplementno4to SUPPLEMENT NO. 4 TO GUARANTEE AND COLLATERAL AGREEMENT SUPPLEMENT NO. 4 (this “Supplement”) dated as of November 14, 2018 to the Guarantee and Collateral Agreement dated as of August 19, 2014 (as amended, supplemented or otherwise modified from time to time, the “Guarantee and Collateral Agreement”), among MEDLEY LLC, a Delaware limited liability company (the “Borrower”),
November 20, 2018	425	MDLY / Medley Management, Inc. 8-K (Prospectus) 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, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
November 20, 2018	EX-10.2	November 14, 2018 Medley LLC 280 Park A venue, 6th Floor East New York, NY 10017 Re: Waiver to Credit Agreement Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherw cnbmedleywaivertocredita November 14, 2018 Medley LLC 280 Park A venue, 6th Floor East New York, NY 10017 Re: Waiver to Credit Agreement Ladies and Gentlemen: We refer to that certain Credit Agreement, dated as of August 19, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the "Credit Agreement"), by and among Medley LLC, a Delaware limited liability company (the "Borrower" or "you"), the lenders from time to time party thereto (the "Lenders"), and City National Bank, a national banking association, in its capacity as the administrative agent (the "Administrative Agent") and in its capacity as the collateral agent for the Lenders (the "Administrative Agent" and the "Collateral Agent", collectively "Agents").
November 14, 2018	EX-99.1	MEDLEY MANAGEMENT INC. DECLARES $0.20 PER SHARE DIVIDEND, REPORTS THIRD QUARTER 2018 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. DECLARES $0.20 PER SHARE DIVIDEND, REPORTS THIRD QUARTER 2018 RESULTS NEW YORK, November 14, 2018 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its third quarter ended September 30, 2018 and will host an earnings conference call and audio webcast this morning at 11:00 a.m. (Eastern Time). Highlights • Fee earning
November 14, 2018	8-K	MDLY / Medley Management, Inc. 8-K (Current Report) 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, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number)
November 14, 2018	10-Q	MDLY / Medley Management, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Managemen
November 7, 2018	SC 13E3	MDLY / Medley Management, Inc. / Medley Management Inc. - SCHEDULE 13E-3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT Under Section 13(e) of the Securities Exchange Act of 1934 MEDLEY MANAGEMENT INC. (Name of the Issuer) Medley Management Inc. Sierra Income Corporation Sierra Management, Inc. SIC Advisors LLC Medley LLC Medley Group LLC Seth Taube Brook Taube (Name of Persons Filing Statement) Class A Common
November 7, 2018	EX-99.(C)(IV)	(c)(iv) Barclays Presentation, dated August 9, 2018. Exhibit (c)(iv)
November 7, 2018	EX-99.(C)(V)	(c)(v) Medley Management Inc. Board Presentation, dated August 2, 2018 Exhibit (c)(v) Presentation to the Board of Directors of Medley Management Inc . August 2, 2018 Project Integrate Confidential . Do not copy or distribute. 2 The objective of Project Integrate is to combine SIC, MCC, and MDLY creating a leading publicly - traded internally managed BDC Project Integrate • Integrate is contemplated to be a three - way combination of Sierra Income Corp. (SIC), Medley
November 6, 2018	8-K	Financial Statements and Exhibits, Other Events 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 6, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (
November 6, 2018	EX-99.1	For the Years Ended December 31, 2017 2016 2015 2014 2013 (Amounts in thousands except share and per share amounts) Statement of Operations Data: Revenues Management fees $ 58,104 $ 65,496 $ 75,675 $ 61,252 $ 36,446 Performance fees (1,974 ) 2,443 (3 Exhibit 99.1 The Company's 2017 Annual Report is being revised to reflect the implementation of certain reporting changes related to new accounting policies as described in Item 8.01 of the accompanying Current Report on Form 8-K. The 2017 Annual Report is revised as follows: • The information previously set forth under the heading “Item 6. Selected Financial Data” in the 2017 Annual Report is rep
October 29, 2018	SC 13G/A	MDLY / Medley Management, Inc. / Jam Partners, L.p. Passive Investment OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response……… UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
September 10, 2018	SC 13G/A	MDLY / Medley Management, Inc. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6) MEDLEY MGMT INC (Name of Issuer) CL A COM (Title of Class of Securities) 58503T106 (CUSIP Number) August 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi
August 17, 2018	SC 13G	MDLY / Medley Management, Inc. / Weiss Asset Management LP Passive Investment SC 13G 1 mdly13g13aug2018.htm =============================================================================== UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* MEDLEY MANAGEMENT INC. - (Name of Issuer) Class A common stock, par value $0.01 per share - (Title of Class of Securities) 58503T106 - (CUSIP Numb
August 15, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 15, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 15, 2018	EX-2.1	Agreement and Plan of Merger, dated as of August 9, 2018, by and among Medley Management Inc., Sierra Income Corporation and Sierra Management, Inc. Exhibit 2.1 EXECUTION COPY AGREEMENT AND PLAN OF MERGER by and among MEDLEY MANAGEMENT INC. SIERRA INCOME CORPORATION and SIERRA MANAGEMENT, INC. DATED AS OF AUGUST 9, 2018 TABLE OF CONTENTS Article I DEFINED TERMS 2 Article II THE MERGER 14 Article III CLOSING; DELIVERY OF MERGER CONSIDERATION 20 Article IV REPRESENTATIONS AND WARRANTIES OF MDLY 23 Article V REPRESENTATIONS AND WARRANTIES OF SIC
August 15, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): August 15, 2018 (August 9, 2018) Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36638 (State or other jurisdiction of incorporation) 47-113
August 14, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 14, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 13, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 9, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 9, 2018	425	MDLY / Medley Management, Inc. 425 (Prospectus) Filed by Sierra Income Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Medley Management Inc.
August 9, 2018	EX-99.1	MEDLEY MANAGEMENT INC. DECLARES $0.20 PER SHARE DIVIDEND, REPORTS SECOND QUARTER 2018 RESULTS AND SCHEDULES EARNINGS CONFERENCE CALL AND WEBCAST Exhibit 99.1 MEDLEY MANAGEMENT INC. DECLARES $0.20 PER SHARE DIVIDEND, REPORTS SECOND QUARTER 2018 RESULTS AND SCHEDULES EARNINGS CONFERENCE CALL AND WEBCAST NEW YORK, August 9, 2018 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its second quarter ended June 30, 2018 and will host an earnings conference call and audio webcast at 11:00 a.m. (Eastern
August 9, 2018	8-K	MDLY / Medley Management, Inc. 8-K (Current Report) 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): August 9, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IR
August 9, 2018	8-K	Financial Statements and Exhibits, Other Events 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): August 9, 2018 Medley Management Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-36638 (State or other jurisdiction of incorporation) 47-1130638 (Commission F
August 9, 2018	EX-99.1	Sierra, MCC and MDLY ANNOUNCE MERGER TO CREATE 2 Exhibit 99.1 Sierra, MCC and MDLY ANNOUNCE MERGER TO CREATE 2nd LARGEST INTERNALLY MANAGED BDC NEW YORK, NY (August 9, 2018) – Sierra Income Corporation (“Sierra” or the “Company”), Medley Capital Corporation (NYSE: MCC, “MCC”) (TASE: MCC), and Medley Management Inc. (NYSE: MDLY, “MDLY” or “Medley”) joint announcement. Sierra, MCC and MDLY have entered into definitive agreements for Sierra to acqu
August 9, 2018	EX-99.2	Investor Presentation Sierra Income Corporation, Medley Capital Corporation and Medley Management Inc. Merger Overview August 2018 Exhibit 99.2 Investor Presentation Sierra Income Corporation, Medley Capital Corporation and Medley Management Inc. Merger Overview August 2018 This communication contains “forward - looking” statements as that term is defined in Section 27 A of the Securities Act of 1933 , as amended, and Section 21 E of the Securities Exchange Act of 1934 , as amended by the Private Securities Litigation Reform
August 9, 2018	10-Q	MDLY / Medley Management, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management Inc
June 8, 2018	SC 13G/A	MDLY / Medley Management, Inc. / BROWN ADVISORY INC - BROWN ADVISORY INCORPORATED Passive Investment SC 13G/A 1 mdlya560818.htm BROWN ADVISORY INCORPORATED UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Medley Management Inc. (Name of Issuer) (Title of Class of Securities) 58503T106 (CUSIP Number) May 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to desig
May 21, 2018	SC 13G	MDLY / Medley Management, Inc. / Jam Partners, L.p. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
May 15, 2018	EX-18.1	Letter from RSM US LLP, dated May 15, 2018, regarding change in accounting principle. medleymanagementincprefe 1185 Avenue of the Americas Fifth Floor May 15, 2018 New York, NY 10036 T +1 212 372 1000 F +1 212 372 1001 Medley Management Inc.
May 15, 2018	EX-10.1	Form of Class A Medley LLC Unit Award Agreement, as amended (incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36638) filed on May 15, 2018). Exhibit 10.1 CLASS A UNIT AWARD AGREEMENT UNDER THE FOURTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF MEDLEY LLC DATED AND EFFECTIVE AS OF [DATE] This AWARD AGREEMENT (“Agreement”) dated and effective as of [DATE] (the “Grant Date”), and is between Medley LLC, a Delaware limited liability company (the “Company”), and [NAME] (the “Participant”). Any term capitalized but not defined
May 15, 2018	EX-10.2	Form of Class A Medley LLC Unit Retention Award Agreement (incorporated by reference to Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-36638) filed on May 15, 2018). Exhibit 10.2 CLASS A UNIT AWARD AGREEMENT UNDER THE FOURTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF MEDLEY LLC DATED AND EFFECTIVE AS OF [DATE] This AWARD AGREEMENT (“Agreement”) dated and effective as of [DATE] (the “Grant Date”), and is between Medley LLC, a Delaware limited liability company (the “Company”), and [NAME] (the “Participant”). Any term capitalized but not defined
May 15, 2018	10-Q	MDLY / Medley Management, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management In
May 15, 2018	8-K	MDLY / Medley Management, Inc. 8-K (Current Report) 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): May 15, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IRS
May 15, 2018	EX-99.1	MEDLEY MANAGEMENT INC. DECLARES $0.20 PER SHARE DIVIDEND AND REPORTS FIRST QUARTER 2018 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. DECLARES $0.20 PER SHARE DIVIDEND AND REPORTS FIRST QUARTER 2018 RESULTS NEW YORK, May 15, 2018 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its first quarter ended March 31, 2018. Highlights • Fee earning assets under management were $3.0 billion as of March 31, 2018 • Total assets under management were $5.1 bi
March 29, 2018	EX-21.1	Subsidiaries of Medley Management Inc. Exhibit 21.1 List of Subsidiaries The following is a list of subsidiaries of the Company as of December 31, 2017: Name of Subsidiary Jurisdiction MCC Advisors LLC Delaware MCOF GP LLC Delaware MCOF Management LLC Delaware Medley (Aspect) GP LLC Delaware Medley (Aspect) Management LLC Delaware Medley Capital LLC Delaware Medley GP Holdings LLC Delaware Medley GP LLC Delaware Medley LLC Delaware Med
March 29, 2018	10-K	MDLY / Medley Management, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36638 Medley Management Inc. (E
March 29, 2018	EX-99.1	MEDLEY MANAGEMENT INC. REPORTS FOURTH QUARTER AND FULL YEAR 2017 RESULTS Exhibit 99.1 MEDLEY MANAGEMENT INC. REPORTS FOURTH QUARTER AND FULL YEAR 2017 RESULTS NEW YORK, March 29, 2018 (GLOBE NEWSWIRE) - Medley Management Inc. (NYSE: MDLY) today reported its financial results for its fourth quarter and year ended December 31, 2017. Highlights • Fee earning assets under management were $3.2 billion as of December 31, 2017 • Total assets under management were $5.2 billion
March 29, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 29, 2018 Medley Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-36638 47-1130638 (State or other jurisdiction of (Commission File Number) (IR
February 9, 2018	SC 13G/A	MDLY / Medley Management, Inc. / BROWN ADVISORY INC - BROWN ADVISORY INCORPORATED (Passive Investment) mdlya420918.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Medley Management Inc. (Name of Issuer) (Title of Class of Securities) 58503T106 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th
January 29, 2018	SC 13G/A	MDLY / Medley Management, Inc. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wfmedleymgmt-58503t106.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5) MEDLEY MGMT INC (Name of Issuer) CL A COM (Title of Class of Securities) 58503T106 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru
January 26, 2018	SC 13G/A	MDLY / Medley Management, Inc. / AMERICAN FINANCIAL GROUP INC - SCHEDULE 13G AMENDMENT NO. 3 MEDLEY MANAGEMENT INC. (Passive Investment) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)* MEDLEY MANAGEMENT INC. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 58503T106 (CUSIP Number) December

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