SEC Form 4 · accession 0001403256-19-000023
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Och
Director · 10% Owner
Period of report
Jan 7, 2019
Accepted (ET)
Jan 9, 2019 · 4:10 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 | Jan 7, 2019 | A | 7,694 | $0.00 | A | 203,401 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The amount shown represents Class A Restricted Share Units granted to the Reporting Person on January 7, 2019. Each Class A Restricted Share Unit represents the contingent right to receive one of the Issuer's Class A Shares upon vesting. Of the Class A Restricted Share Units granted, 4,977 are fully vested and the remainder vest on March 31, 2019. With respect to each vested Class A Restricted Share Unit, the Reporting Person shall receive one of the Issuer's Class A Shares on or before the third business day following the Reporting Person's departure from the Issuer's Board of Directors.
Remarks
Share amounts presented throughout this form have been adjusted to give effect to the Issuer's 1-for-10 reverse stock split that was effective following the close of trading on the New York Stock Exchange on January 3, 2019.