SEC Form 4 · accession 0001403256-17-000152
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
Aug 14, 2017
Accepted (ET)
Aug 15, 2017 · 4:02 pm EDT
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 | Aug 14, 2017 | M | 20,182 | — | A | 93,077 | D | |
| Class A SharesF3 | Aug 14, 2017 | D | 20,182 | $2.93 | D | 72,895 | 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 UnitsF4,F2,F1 | — | Aug 14, 2017 | M | 20,182 | D | — | — | Class A Shares | 20,182 | 407,758 | D |
Explanation of responses
- F1The amount shown represents the August 14, 2017 vesting of the Class A Restricted Share Units held by the Reporting Person.
- 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.
- F3This number of Class A Restricted Share Units was settled in cash by the Issuer.
- F4The Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 24,684 on September 14, 2017; 27,615 on February 1, 2018; 73,645 on March 1, 2018; 13,470 on August 14, 2018; 24,683 on September 14, 2018; 73,644 on March 1, 2019; 24,683 on September 13, 2019; 73,644 on March 2, 2020; 24,683 on September 14, 2020; and 47,007 on March 1, 2021.