* | 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. |
CUSIP No. 395259104 | 13D | Page 1 of 14 |
1 | Names of Reporting Persons Scott L. Bok | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) PF | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization United States of America | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power None | |||||||||||||||||||||||||||
8 | Shared Voting Power 2,950,091 | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power None | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power 2,950,091 | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 2,950,091 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 16.4% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) IN |
CUSIP No. 395259104 | 13D | Page 2 of 14 |
1 | Names of Reporting Persons Bok Family Partners, L.P. | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) AF, WC | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization Delaware | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power None | |||||||||||||||||||||||||||
8 | Shared Voting Power 1,678,388 | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power None | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power 1,678,388 | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 1,678,388 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 9.3% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) PN |
CUSIP No. 395259104 | 13D | Page 3 of 14 |
1 | Names of Reporting Persons Bok Family Foundation | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) AF | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization Connecticut | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power None | |||||||||||||||||||||||||||
8 | Shared Voting Power 288,783 | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power None | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power 288,783 | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 288,783 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 1.6% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) OO |
CUSIP No. 395259104 | 13D | Page 4 of 14 |
1 | Names of Reporting Persons Scott L. Bok March 2020 Annuity Trust | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) AF | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization New York | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power 132,639 | |||||||||||||||||||||||||||
8 | Shared Voting Power None | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power 132,639 | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power None | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 132,639 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 0.7% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) OO |
CUSIP No. 395259104 | 13D | Page 5 of 14 |
1 | Names of Reporting Persons Scott L. Bok November 2020 Annuity Trust | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) AF | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization New York | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power 194,927 | |||||||||||||||||||||||||||
8 | Shared Voting Power None | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power 194,927 | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power None | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 194,927 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 1.1% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) OO |
CUSIP No. 395259104 | 13D | Page 6 of 14 |
1 | Names of Reporting Persons Scott L. Bok November 2021 Annuity Trust | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) AF | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization New York | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power 75,331 | |||||||||||||||||||||||||||
8 | Shared Voting Power None | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power 75,331 | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power None | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 75,331 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 0.4% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) OO |
CUSIP No. 395259104 | 13D | Page 7 of 14 |
1 | Names of Reporting Persons Scott L. Bok November 2022 Annuity Trust | ||||||||||||||||||||||||||||
2 | Check the Appropriate Box If a Member of a Group (See Instructions) a. ☒ b. ☐ | ||||||||||||||||||||||||||||
3 | SEC Use Only | ||||||||||||||||||||||||||||
4 | Source of Funds (See Instructions) AF | ||||||||||||||||||||||||||||
5 | Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ☐ | ||||||||||||||||||||||||||||
6 | Citizenship or Place of Organization New York | ||||||||||||||||||||||||||||
Number of Shares Beneficially Owned By Each Reporting Person With | 7 | Sole Voting Power 580,023 | |||||||||||||||||||||||||||
8 | Shared Voting Power None | ||||||||||||||||||||||||||||
9 | Sole Dispositive Power 580,023 | ||||||||||||||||||||||||||||
10 | Shared Dispositive Power None | ||||||||||||||||||||||||||||
11 | Aggregate Amount Beneficially Owned by Each Reporting Person 580,023 | ||||||||||||||||||||||||||||
12 | Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ☐ | ||||||||||||||||||||||||||||
13 | Percent of Class Represented By Amount in Row (11) 3.2% | ||||||||||||||||||||||||||||
14 | Type of Reporting Person (See Instructions) OO |
CUSIP No. 395259104 | 13D | Page 8 of 14 |
CUSIP No. 395259104 | 13D | Page 9 of 14 |
Item 2. | Identity and Background |
Reporting Person | Address of Principal Office / Business or Residence Address | Jurisdiction of Organization / Citizenship | Occupation and Name / Address of Employer | Principal Business | ||||||||||||||||||||||
Scott L. Bok | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | United States of America | Chairman and Chief Executive Officer of Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | Investment Banking | ||||||||||||||||||||||
Bok Family Partners, L.P. | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | Delaware | N/A | Holding Company | ||||||||||||||||||||||
Bok Family Foundation | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | Connecticut | N/A | Charitable Foundation | ||||||||||||||||||||||
Scott L. Bok March 2020 Annuity Trust | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | New York | N/A | Grantor Retained Annuity Trust Holding Assets for the Benefit of Scott L. Bok and His Two Children | ||||||||||||||||||||||
Scott L. Bok November 2020 Annuity Trust | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | New York | N/A | Grantor Retained Annuity Trust Holding Assets for the Benefit of Scott L. Bok and His Two Children | ||||||||||||||||||||||
Scott L. Bok November 2021 Annuity Trust | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | New York | N/A | Grantor Retained Annuity Trust Holding Assets for the Benefit of Scott L. Bok and His Two Children | ||||||||||||||||||||||
Scott L. Bok November 2022 Annuity Trust | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | New York | N/A | Grantor Retained Annuity Trust Holding Assets for the Benefit of Scott L. Bok and His Two Children |
CUSIP No. 395259104 | 13D | Page 10 of 14 |
Reporting Person | Address of Principal Office / Business or Residence Address | Jurisdiction of Organization / Citizenship | Occupation and Name / Address of Employer | Principal Business | ||||||||||||||||||||||
Bok Family Partners, L.P. | ||||||||||||||||||||||||||
Control Persons | ||||||||||||||||||||||||||
Scott L. Bok, General Partner | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | See above. | See above. | See above. | ||||||||||||||||||||||
Bok Family Foundation | ||||||||||||||||||||||||||
Control Persons | ||||||||||||||||||||||||||
Scott L. Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | See above. | See above. | See above. | ||||||||||||||||||||||
Roxanne Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | United States of America | Not employed. | N/A | ||||||||||||||||||||||
Elliot Peter Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | United States of America | Senior Associate, CBRE Group, 200 Park Avenue, New York, NY 10166 | Commercial Real Estate Services | ||||||||||||||||||||||
Scott L. Bok March 2020 Annuity Trust | ||||||||||||||||||||||||||
Control Persons | ||||||||||||||||||||||||||
Scott L. Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | See above. | See above. | See above. | ||||||||||||||||||||||
Scott L. Bok November 2020 Annuity Trust | ||||||||||||||||||||||||||
Control Persons | ||||||||||||||||||||||||||
Scott L. Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | See above. | See above. | See above. | ||||||||||||||||||||||
Scott L. Bok November 2021 Annuity Trust | ||||||||||||||||||||||||||
Control Persons | ||||||||||||||||||||||||||
Scott L. Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | See above. | See above. | See above. | ||||||||||||||||||||||
Scott L. Bok November 2022 Annuity Trust | ||||||||||||||||||||||||||
Control Persons | ||||||||||||||||||||||||||
Scott L. Bok, Trustee | c/o Greenhill & Co., Inc., 1271 Avenue of the Americas, New York, NY 10020 | See above. | See above. | See above. |
CUSIP No. 395259104 | 13D | Page 11 of 14 |
Item 3. | Source and Amount of Funds or Other Consideration. |
Item 4. | Purpose of the Transaction |
Item 5. | Interest in Securities of the Issuer. |
CUSIP No. 395259104 | 13D | Page 12 of 14 |
CUSIP No. 395259104 | 13D | Page 13 of 14 |
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. |
CUSIP No. 395259104 | 13D | Page 14 of 14 |
Scott L. Bok | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Bok Family Partners, L.P. | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | General Partner | |||||||
Bok Family Foundation | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok March 2020 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok November 2020 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok November 2021 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok November 2022 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee |
Exhibit Number | Description | |||||||
1 | 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).* | |||||||
2 | 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).* | |||||||
3 | Joint Filing Agreement, dated January 10, 2018, by and among the Reporting Persons.* | |||||||
4 | Joinder Agreement, dated November 13, 2018, to the Joint Filing Agreement.* | |||||||
5 | 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).* | |||||||
6 | Joinder Agreement, dated August 21, 2019, to the Joint Filing Agreement.* | |||||||
7 | Joinder Agreement, dated August 25, 2020, to the Joint Filing Agreement.* | |||||||
8 | Joinder Agreement, dated November 15, 2021 to the Joint Filing Agreement* | |||||||
9 | 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)* | |||||||
10 | Joinder Agreement, dated November 22, 2022 to the Joint Filing Agreement |
* | Previously filed. |
Exhibit 10 |
Scott L. Bok November 2022 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee |
Scott L. Bok | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Bok Family Partners, L.P. | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | General Partner | |||||||
Bok Family Foundation | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok May 2019 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok March 2020 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok November 2020 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||
Scott L. Bok November 2021 Annuity Trust | ||||||||
By: | /s/ Scott L. Bok | |||||||
Name: | Scott L. Bok | |||||||
Title: | Trustee | |||||||