SEC Form 4 · accession 0001403256-17-000163
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
Aug 21, 2017
Accepted (ET)
Aug 23, 2017 · 6:02 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 | — | Aug 21, 2017 | A | 87 | A | — | — | Class A Shares | 87 | 12,951 | D |
| Class A Restricted Share UnitsF1,F3 | — | Aug 21, 2017 | A | 260 | A | — | — | Class A Shares | 260 | 38,613 | D |
| Class A Restricted Share UnitsF1,F4 | — | Aug 21, 2017 | A | 867 | A | — | — | Class A Shares | 867 | 128,785 | D |
| Class A Restricted Share UnitsF1,F5 | — | Aug 21, 2017 | A | 534 | A | — | — | Class A Shares | 534 | 79,367 | D |
Explanation of responses
- F1Each 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.
- F2The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 31, 2015. The Class A Restricted Share Units vest, subject to certain limited exceptions, in full on December 26, 2017.
- F3The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 31, 2016. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2017 and December 26, 2018.
- F4The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 31, 2017. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2017, December 26, 2018, and December 26, 2019.
- F5The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 31, 2017. The Class A Restricted Share Units vest, subject to certain limited exceptions, in full on January 31, 2018.