SEC Form 4 · accession 0001403256-18-000083
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Windreich
Officer — Co-Chief Investment Officer · Director
Period of report
Mar 8, 2018
Accepted (ET)
Mar 9, 2018 · 4:33 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Group A UnitsF3,F1 | — | Mar 8, 2018 | J | 9,240,506 | D | — | — | Class A Shares | 9,240,506 | 30,421,004 | I |
| Group A UnitsF3,F1 | — | Mar 8, 2018 | J | 9,240,506 | A | — | — | Class A Shares | 9,240,506 | 30,421,004 | I |
| Group A UnitsF1 | — | holding | — | — | — | — | — | Class A Shares | 4,773,863 | 4,773,863 | D |
Explanation of responses
- F1One Group A Unit consists of one Class A Common Unit of each of OZ Advisors LP ("OZA"), OZ Advisors II LP ("OZA II") and OZ Management LP ("OZM," and together with OZA and OZA II, the "Oz Operating Group"). Pursuant to an exchange agreement, the Reporting Person may, subject to vesting and minimum retained ownership requirements and transfer restrictions set forth in the partnership agreements of the Oz Operating Group, exchange Group A Units for Class A Shares of the Company on a one-for-one basis, subject to exchange rate adjustments for splits, distributions and reclassifications. Upon the exchange of one Group A Unit for one Class A Share, one Class B Share will be canceled for no consideration.
- F2Reflects transactions by the Reporting Person with certain related trusts for family members or estate planning purposes.
- F3The Group A Units listed here are held in trusts. Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person herein states that this filing shall not be deemed an admission that he or any trust is the beneficial owner of any such interests, and disclaims beneficial ownership of such interests, except to the extent of his pecuniary interest therein.