SEC Form 4 · accession 0001403256-18-000104
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Levin
Officer — Co-CIO and Head of Glbl Credit
Period of report
Apr 12, 2018
Accepted (ET)
Apr 16, 2018 · 4:32 pm EDT
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 | Apr 12, 2018 | S | 138,700 | $2.3244 | D | 1,375,372 | D | |
| Class A SharesF2 | Apr 13, 2018 | S | 124,209 | $2.3287 | D | 1,251,163 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Class A Shares were sold at prices ranging from $2.26 to $2.37. Upon request, the Reporting Person will provide to the U.S. Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of Class A Shares sold at each separate price.
- F2The Class A Shares were sold at prices ranging from $2.27 to $2.36. Upon request, the Reporting Person will provide to the U.S. Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of Class A Shares sold at each separate price.
Remarks
All sales listed on this Form 4 were made by the Reporting Person pursuant to a pre-established plan that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934.