SEC Form 4 · accession 0001403256-17-000002
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)
Jan 3, 2017 · 5:29 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 | Dec 26, 2016 | F | 16,220 | $3.03 | D | 27,669 | D | |
| Class A SharesF3 | Dec 30, 2016 | S | 27,669 | $3.25 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of Class A Restricted Share Units.
- F2These sales were made by the Reporting Person pursuant to a plan adopted on November 7, 2016 that is intended to comply with Exchange Act Rule 10b5-1(c).
- F3The price reported in column 4 is a weighted average price. The Class A Shares were sold in multiple transactions at prices ranging from $3.20 to $3.34. Upon request the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer the full information regarding the number of Class A Shares sold at each separate price within the range set forth in this footnote.