SEC Form 4 · accession 0001403256-18-000230
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Scott Shafir
Officer — Chief Executive Officer · Director
Period of report
Aug 20, 2018
Accepted (ET)
Aug 22, 2018 · 5:07 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Restricted Share UnitsF1,F2 | — | Aug 20, 2018 | A | 21,176 | A | — | — | Class A Shares | 21,176 | 2,085,872 | D |
| Class A Restricted Share UnitsF1,F2 | — | Aug 20, 2018 | A | 127,566 | A | — | — | Class A Shares | 127,566 | 12,565,301 | D |
Explanation of responses
- F1Each 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.
- F2The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on February 5, 2018. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on February 5, 2019, February 5, 2020, February 5, 2021 and February 5, 2022.