SEC Form 4 · accession 0001403256-18-000026
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
Jan 31, 2018
Accepted (ET)
Feb 1, 2018 · 4:15 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 | Jan 31, 2018 | M | 79,874 | $0.00 | A | 79,874 | D | |
| Class A SharesF2 | Jan 31, 2018 | F | 27,131 | $2.40 | D | 52,743 | 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,F1 | — | Jan 31, 2018 | M | 79,874 | D | — | — | Class A Shares | 79,874 | 0 | D |
| Class A Restricted Share UnitsF4,F3 | — | Jan 31, 2018 | A | 73,094 | A | — | — | Class A Shares | 73,094 | 73,094 | D |
| Class A Restricted Share UnitsF5,F3 | — | holding | — | — | — | — | — | Class A Shares | 86,404 | 86,404 | D |
| Class A Restricted Share UnitsF6,F3 | — | holding | — | — | — | — | — | Class A Shares | 19,429 | 19,429 | D |
Explanation of responses
- F1The amount shown represents the vesting of Class A Restricted Share Units granted to the Reporting Person on January 31, 2017, including any dividend equivalents accrued on such units.
- F2Represents 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.
- F3Each 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.
- F4The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2018, December 26, 2019 and December 26, 2020.
- F5The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2018 and December 26, 2019.
- F6The Class A Restricted Share Units vest, subject to certain limited exceptions, on December 26, 2018.