SEC Form 4 · accession 0001403256-17-000027
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Michael Levine
Officer — Chief Legal Officer
Period of report
Feb 1, 2017
Accepted (ET)
Feb 2, 2017 · 4:16 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 | Feb 1, 2017 | M | 46,480 | $0.00 | A | 46,480 | 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 UnitsF3,F2 | — | Feb 1, 2017 | M | 46,480 | D | — | — | Class A Shares | 46,480 | 449,092 | D |
Explanation of responses
- F1The amount shown represents vesting of the Class A Restricted Share Units granted to the Reporting Person on January 23, 2017.
- 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 Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 26,316 on March 1, 2017; 19,939 on August 14, 2017; 24,385 on September 14, 2017; 27,281 on February 1, 2018; 72,756 on March 1, 2018; 13,308 on August 14, 2018; 24,385 on September 14, 2018; 72,756 on March 1, 2019; 24,385 on September 13, 2019; 72,756 on March 2, 2020; 24,385 on September 14, 2020; and 46,440 on March 1, 2021.