SEC Form 4 · accession 0001403256-18-000280
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
Dec 26, 2018
Accepted (ET)
Dec 28, 2018 · 4:08 pm EST
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 | Dec 26, 2018 | M | 300,748 | — | A | 300,748 | 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 UnitsF2,F3 | — | Dec 26, 2018 | M | 20,730 | D | — | — | Class A Shares | 20,730 | 0 | D |
| Class A Restricted Share UnitsF2,F4 | — | Dec 26, 2018 | M | 46,100 | D | — | — | Class A Shares | 46,100 | 46,096 | D |
| Class A Restricted Share UnitsF2,F5 | — | Dec 26, 2018 | M | 25,999 | D | — | — | Class A Shares | 25,999 | 51,994 | D |
| Class A Restricted Share UnitsF2,F6 | — | Dec 26, 2018 | M | 207,919 | D | — | — | Class A Shares | 207,919 | 415,835 | D |
Explanation of responses
- F1The transaction reported on this line represents the vesting of Class A Restricted Share Units as presented in Table II below.
- 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 relate to outstanding Class A Restricted Share Units granted on January 31, 2016.
- F4The Class A Restricted Share Units relate to outstanding Class A Restricted Share Units granted on January 31, 2017. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, on December 26, 2019.
- F5The Class A Restricted Share Units relate to outstanding Class A Restricted Share Units granted on January 31, 2018. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2019 and December 26, 2020.
- F6The Class A Restricted Share Units relate to outstanding Class A Restricted Share Units granted on April 23, 2018. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2019 and December 26, 2020.