SEC Form 4 · accession 0001403256-16-000292
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Erez Elisha
Officer — Chief Accounting Officer
Period of report
Dec 26, 2016
Accepted (ET)
Dec 27, 2016 · 4:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403256
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A SharesF1,F2 | Dec 26, 2016 | M | 12,232 | — | A | 12,232 | D | |
| Class A SharesF3,F2 | Dec 26, 2016 | M | 12,711 | — | A | 24,943 | D | |
| Class A SharesF4,F2 | Dec 26, 2016 | M | 18,946 | — | A | 43,889 | D |
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 UnitsF2,F1 | — | Dec 26, 2016 | M | 12,232 | D | — | — | Class A Shares | 12,232 | 0 | D |
| Class A Restricted Share UnitsF2,F5,F3 | — | Dec 26, 2016 | M | 12,711 | D | — | — | Class A Shares | 12,711 | 12,710 | D |
| Class A Restricted Share UnitsF2,F6,F4 | — | Dec 26, 2016 | M | 18,946 | D | — | — | Class A Shares | 18,946 | 37,891 | D |
Explanation of responses
- F1The amount shown represents vesting of the Class A Restricted Share Units granted to the Reporting Person on January 31, 2014, including any dividend equivalents accrued on such units.
- F2Each Class A Restricted Share Unit represents, at the election of the administrator of the applicable plan (currently the Issuer's Compensation Committee), a right to receive one of the Issuer's Class A Shares or the cash value thereof, upon the vesting date.
- F3The amount shown represents the vesting of Class A Restricted Share Units granted to the Reporting Person on January 31, 2015, including any dividend equivalents accrued on such units.
- F4The amount shown represents the vesting of Class A Restricted Share Units granted to the Reporting Person on January 31, 2016, including any dividend equivalents accrued on such units.
- F5These remaining Class A Restricted Share Units vest, subject to certain limited exceptions, on December 26, 2017.
- F6These remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2017 and December 26, 2018, respectively.