SEC Form 4 · accession 0001403256-19-000036
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Michael Sipp
Officer — Chief Financial Officer
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 6:10 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 | — | Jan 22, 2019 | A | 31,061 | A | — | — | Class A Shares | 31,061 | 31,061 | D |
| Class A Restricted Share UnitsF1,F3 | — | holding | — | — | — | — | — | Class A Shares | 311,878 | 311,878 | 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 relate to Class A Restricted Share Units approved by the Issuer's Compensation Committee on January 22, 2019, which will be granted effective January 31, 2019. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on January 31, 2020, January 31, 2021 and January 31, 2022.
- F3The Class A Restricted Share Units relate to Class A Restricted Share Units granted on May 3, 2018. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on May 3, 2019, May 3, 2020 and May 3, 2021.
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.