SEC Form 4 · accession 0001403256-15-000095
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Georganne Proctor
Director
Period of report
May 22, 2015
Accepted (ET)
May 27, 2015 · 7:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403256
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Restricted Share UnitsF1,F2 | — | May 22, 2015 | A | 303 | A | — | — | Class A Shares | 303 | 17,616 | D |
| Class A Restricted Share UnitsF1,F3 | — | May 22, 2015 | A | 249 | A | — | — | Class A Shares | 249 | 14,498 | D |
| Class A Restricted Share UnitsF1,F4 | — | May 22, 2015 | A | 143 | A | — | — | Class A Shares | 143 | 8,356 | D |
| Class A Restricted Share UnitsF1,F5 | — | May 22, 2015 | A | 157 | A | — | — | Class A Shares | 157 | 9,144 | D |
Explanation of responses
- F1Each Class A Restricted Share Unit represents a right to receive one of the Issuer's Class A Shares. With respect to each vested Class A Restricted Share Unit, the Reporting Person shall receive one of the Issuer's Class A Shares on or before the third business day following the Reporting Person's departure from the Issuer's Board of Directors.
- F2The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 3, 2012. These Class A Restricted Share Units are fully vested.
- F3The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 2, 2013. Of the 14,498 Class A Restricted Share Units, 9,668 are fully vested and the remaining vest, subject to certain limited exceptions, in full on January 1, 2016.
- F4The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 2, 2014. Of the 8,356 Class A Restricted Share Units, 2,787 are fully vested and the remaining vest, subject to certain limited exceptions, in equal installments on January 1, 2016 and January 1, 2017.
- F5The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 2, 2015. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on the first through third anniversaries of January 1, 2015.