SEC Form 4 · accession 0001403256-18-000085

Och-Ziff Capital Management Group LLC · OZM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Daniel Och

Director · 10% Owner

Period of report

Mar 8, 2018

Accepted (ET)

Mar 12, 2018 · 7:29 am 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
Group A Units^F1	—	Mar 8, 2018	G	3,271,766	D	—	—	Class A Shares	3,271,766	47,928,701	D
Group A Units^F3,F1	—	Mar 8, 2018	G	3,271,766	A	—	—	Class A Shares	3,271,766	79,370,810	I
Group A Units^F1	—	Mar 8, 2018	G	2,424,436	D	—	—	Class A Shares	2,424,436	45,504,265	D
Group A Units^F3,F1	—	Mar 8, 2018	G	2,424,436	A	—	—	Class A Shares	2,424,436	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	2,608,946	D	—	—	Class A Shares	2,608,946	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	2,608,946	A	—	—	Class A Shares	2,608,946	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	555,610	D	—	—	Class A Shares	555,610	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	555,610	A	—	—	Class A Shares	555,610	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	3,094,507	D	—	—	Class A Shares	3,094,507	78,700,739	I
Group A Units^F3,F1	—	Mar 8, 2018	J	3,094,507	A	—	—	Class A Shares	3,094,507	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	2,608,946	D	—	—	Class A Shares	2,608,946	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	2,608,946	A	—	—	Class A Shares	2,608,946	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	555,610	D	—	—	Class A Shares	555,610	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	555,610	A	—	—	Class A Shares	555,610	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	3,094,507	D	—	—	Class A Shares	3,094,507	78,700,739	I
Group A Units^F3,F1	—	Mar 8, 2018	J	3,094,507	A	—	—	Class A Shares	3,094,507	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	2,608,945	D	—	—	Class A Shares	2,608,945	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	2,608,945	A	—	—	Class A Shares	2,608,945	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	555,611	D	—	—	Class A Shares	555,611	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	555,611	A	—	—	Class A Shares	555,611	81,795,246	I
Group A Units^F3,F1	—	Mar 8, 2018	G	3,094,507	D	—	—	Class A Shares	3,094,507	78,700,739	I
Group A Units^F3,F1	—	Mar 8, 2018	J	3,094,507	A	—	—	Class A Shares	3,094,507	81,795,246	I

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 the 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.