SEC Form 4 · accession 0001403256-17-000207
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
Nov 20, 2017
Accepted (ET)
Nov 22, 2017 · 4:17 pm EST
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 | — | Nov 20, 2017 | A | 2,464 | A | — | — | Class A Shares | 2,464 | 388,134 | 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 23, 2017. These Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 178 on February 1, 2018; 474 on March 1, 2018; 87 on August 14, 2018; 157 on September 14, 2018; 474 on March 1, 2019; 159 on September 13, 2019; 474 on March 2, 2020; 159 on September 14, 2020; and 302 on March 1, 2021.