SEC Form 4 · accession 0001403256-19-000019
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James S Levin
Officer — Chief Investment Officer
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 4:34 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 31, 2018 | M | 5,563,874 | — | A | 5,563,874 | D | |
| Class A SharesF2 | Dec 31, 2018 | D | 2,971,665 | $0.96 | D | 2,592,209 | D | |
| Class A SharesF1,F3 | Dec 31, 2018 | M | 625,043 | — | A | 625,043 | I | Held by Trusts |
| Class A SharesF2,F3 | Dec 31, 2018 | D | 333,835 | $0.96 | D | 291,208 | I | Held by Trusts |
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 UnitsF4,F5 | — | Dec 31, 2018 | M | 5,563,874 | D | — | — | Class A Shares | 5,563,874 | 5,609,462 | D |
| Class A Restricted Share UnitsF3,F4,F5 | — | Dec 31, 2018 | M | 625,043 | D | — | — | Class A Shares | 625,043 | 2,500,120 | I |
Explanation of responses
- F1The transaction reported on this line represents the vesting of Class A Restricted Share Units as presented in Table II below.
- F2Represents Class A Restricted Share Units settled in cash by the Issuer.
- F3The Class A Shares and Class A Restricted Share Units listed as indirect holdings are held in trusts. Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person herein states that this filing shall not be deemed an admission that he or any trust is the beneficial owner of any such interests, and disclaims beneficial ownership of such interests, except to the extent of his pecuniary interest therein.
- F4Each 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.
- F5These Class A Restricted Share Units relate to Class A Restricted Share Units granted on February 16, 2018. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 31, 2019, December 31, 2020, December 31, 2021 and December 31, 2022.