SEC Form 4 · accession 0001403256-19-000044
Och-Ziff Capital Management Group LLC · OZM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Scott Shafir
Officer — Chief Executive Officer · Director
Period of report
Feb 5, 2019
Accepted (ET)
Feb 6, 2019 · 4:15 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 | Feb 5, 2019 | M | 373,256 | — | A | 373,256 | 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 | — | Feb 5, 2019 | M | 53,141 | D | — | — | Class A Shares | 53,141 | 159,420 | D |
| Class A Restricted Share UnitsF2,F4 | — | Feb 5, 2019 | M | 320,115 | D | — | — | Class A Shares | 320,115 | 960,349 | D |
| Class A Restricted Share UnitsF2,F5 | — | holding | — | — | — | — | — | Class A Shares | 250,000 | 250,000 | 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 Class A Restricted Share Units granted on February 5, 2018. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on February 5, 2020, February 5, 2021 and February 5, 2022.
- F4The Class A Restricted Share Units relate to Class A Restricted Share Units granted on February 5, 2018. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on February 5, 2020, February 5, 2021 and February 5, 2022.
- F5The Class A Restricted Share Units relate to Class A Restricted Share Units granted on 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, January 31, 2022 and January 31, 2023.