SEC Form 4 · accession 0001403256-18-000273
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Erez Elisha
Officer — Chief Accounting Officer
Period of report
Nov 20, 2018
Accepted (ET)
Nov 21, 2018 · 4:23 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Restricted Share UnitsF1,F2 | — | Nov 20, 2018 | A | 387 | A | — | — | Class A Shares | 387 | 20,730 | D |
| Class A Restricted Share UnitsF1,F3 | — | Nov 20, 2018 | A | 1,723 | A | — | — | Class A Shares | 1,723 | 92,196 | D |
| Class A Restricted Share UnitsF1,F4 | — | Nov 20, 2018 | A | 1,457 | A | — | — | Class A Shares | 1,457 | 77,993 | D |
| Class A Restricted Share UnitsF1,F5 | — | Nov 20, 2018 | A | 11,658 | A | — | — | Class A Shares | 11,658 | 623,754 | 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 January 31, 2016. The Class A Restricted Share Units vest, subject to certain limited exceptions, in full on December 26, 2018.
- F3The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 31, 2017. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2018, and December 26, 2019.
- F4The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on January 31, 2018. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2018, December 26, 2019 and December 26, 2020.
- F5The Class A Restricted Share Units are dividend equivalents accrued on the outstanding Class A Restricted Share Units granted on April 23, 2018. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2018, December 26, 2019 and December 26, 2020.