SEC Form SC 13D/A filed by Greenhill & Co. Inc. (Amendment)
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter disclosures provided in a prior cover page.
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1
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Names of Reporting Persons
Scott L. Bok
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
PF
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
United States of America
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
57,087
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8
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Shared Voting Power
2,874,539
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9
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Sole Dispositive Power
None
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10
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Shared Dispositive Power
2,874,539
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,874,539
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
15.3%
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14
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Type of Reporting Person (See Instructions)
IN
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1
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Names of Reporting Persons
Bok Family Partners, L.P.
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF, WC
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
Delaware
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
None
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8
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Shared Voting Power
1,678,388
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9
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Sole Dispositive Power
None
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10
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Shared Dispositive Power
1,678,388
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,678,388
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
8.9%
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14
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Type of Reporting Person (See Instructions)
PN
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1
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Names of Reporting Persons
Bok Family Foundation
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
Connecticut
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
None
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8
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Shared Voting Power
288,783
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9
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Sole Dispositive Power
None
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10
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Shared Dispositive Power
288,783
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
288,783
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
1.5%
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14
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Type of Reporting Person (See Instructions)
OO
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1
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Names of Reporting Persons
Scott L. Bok March 2020 Annuity Trust
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
New York
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
None
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8
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Shared Voting Power
None
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9
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Sole Dispositive Power
None
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10
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Shared Dispositive Power
None
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
None
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
0.0%
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14
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Type of Reporting Person (See Instructions)
OO
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1
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Names of Reporting Persons
Scott L. Bok November 2020 Annuity Trust
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
New York
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
194,927
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8
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Shared Voting Power
None
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9
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Sole Dispositive Power
194,927
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10
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Shared Dispositive Power
None
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
194,927
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
1.0%
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14
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Type of Reporting Person (See Instructions)
OO
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1
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Names of Reporting Persons
Scott L. Bok November 2021 Annuity Trust
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
New York
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
75,331
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8
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Shared Voting Power
None
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9
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Sole Dispositive Power
75,331
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10
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Shared Dispositive Power
None
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
75,331
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
0.4%
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14
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Type of Reporting Person (See Instructions)
OO
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1
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Names of Reporting Persons
Scott L. Bok November 2022 Annuity Trust
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2
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Check the Appropriate Box If a Member of a Group (See Instructions)
a. ☒ b. ☐
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3
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SEC Use Only
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4
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Source of Funds (See Instructions)
AF
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5
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Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐
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6
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Citizenship or Place of Organization
New York
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
With
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7
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Sole Voting Power
580,023
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8
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Shared Voting Power
None
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9
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Sole Dispositive Power
580,023
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10
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Shared Dispositive Power
None
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
580,023
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12
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Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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Percent of Class Represented By Amount in Row (11)
3.1%
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14
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Type of Reporting Person (See Instructions)
OO
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Item 4.
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Purpose of the Transaction
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Item 5.
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Interest in Securities of the Issuer.
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Item 6.
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Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
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Scott L. Bok
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Bok Family Partners, L.P.
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Title:
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General Partner
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Bok Family Foundation
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Title:
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Trustee
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Scott L. Bok March 2020 Annuity Trust
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Title:
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Trustee
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Scott L. Bok November 2020 Annuity Trust
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Title:
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Trustee
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Scott L. Bok November 2021 Annuity Trust
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Title:
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Trustee
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Scott L. Bok November 2022 Annuity Trust
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By:
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/s/ Scott L. Bok
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Name:
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Scott L. Bok
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Title:
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Trustee
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Exhibit
Number
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Description
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Amended and Restated Equity Incentive Plan (incorporated by reference to Exhibit A to the Issuer’s Definitive Proxy Statement on Schedule 14A, filed on March 13, 2015).*
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Form of Greenhill & Co., Inc. Equity Incentive Plan Restricted Stock Unit Award Notification (incorporated by reference to Exhibit 10.4 to the Issuer’s Current Report on Form 8-K filed on September 26, 2017).*
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3
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Joint Filing Agreement, dated January 10, 2018, by and among the Reporting Persons.*
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4
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Joinder Agreement, dated November 13, 2018, to the Joint Filing Agreement.*
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Greenhill & Co., Inc. 2019 Equity Incentive Plan (incorporated by reference to Exhibit A to the Issuer’s Definitive Proxy Statement on Schedule 14A, filed on March 20, 2019).*
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6
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Joinder Agreement, dated August 21, 2019, to the Joint Filing Agreement.*
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7
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Joinder Agreement, dated August 25, 2020, to the Joint Filing Agreement.*
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8
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Joinder Agreement, dated November 15, 2021 to the Joint Filing Agreement*
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Greenhill & Co., Inc. Amended 2019 Equity Incentive Plan (incorporated by reference to Exhibit A to the Issuer's Definitive Proxy Statement on Schedule 14A, filed on March 14, 2022)*
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10
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Joinder Agreement, dated November 22, 2022 to the Joint Filing Agreement*
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Agreement and Plan of Merger, dated as of May 22, 2023, by and among Mizuho Americas LLC, Blanc Merger Sub, Inc. and Greenhill & Co., Inc. (incorporated by reference to Exhibit 2.1 to the Current Report on Form
8-K of Greenhill & Co., Inc. filed with the Securities and Exchange Commission on May 22, 2023 (Commission File No. 001-32147)).
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Voting Agreement, dated as of May 22, 2023, by and among Mizuho Americas LLC, Blanc Merger Sub, Inc. and the persons listed on the schedule thereto (incorporated by reference to Exhibit 99.1 to the Current Report on
Form 8-K of Greenhill & Co., Inc. filed with the Securities and Exchange Commission on May 22, 2023 (Commission File No. 001-32147)).
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*
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Previously filed.
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