SEC Form 4 · accession 0001403256-18-000233
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
Aug 23, 2018
Accepted (ET)
Aug 23, 2018 · 4:12 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 | Aug 23, 2018 | M | 145 | $0.00 | A | 145 | D | |
| Class A Shares | Aug 23, 2018 | S | 145 | $1.88 | D | 0 | 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,F3,F2 | — | Aug 23, 2018 | M | 145 | D | — | — | Class A Shares | 145 | 284,693 | D |
Explanation of responses
- F1The amount shown represents the 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.
- F3The Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 26,186 on September 14, 2018; 78,133 on March 1, 2019; 26,187 on September 13, 2019; 78,132 on March 2, 2020; 26,186 on September 14, 2020; and 49,869 on March 1, 2021.
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.