SEC Form 4 · accession 0001403256-18-000057
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
Mar 1, 2018
Accepted (ET)
Mar 1, 2018 · 4:31 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,F2 | Mar 1, 2018 | M | 74,619 | — | A | 147,514 | D | |
| Class A SharesF3 | Mar 1, 2018 | D | 74,619 | $2.67 | 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 UnitsF1,F4,F2 | — | Mar 1, 2018 | M | 74,619 | D | — | — | Class A Shares | 74,619 | 285,534 | D |
Explanation of responses
- F1The amount shown represents the March 1, 2018 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: 13,648 on August 14, 2018; 25,007 on September 14, 2018; 74,617 on March 1, 2019; 25,009 on September 13, 2019; 74,617 on March 2, 2020; 25,009 on September 14, 2020; and 47,627 on March 1, 2021.