Filing Details
- Accession Number:
- 0001181431-11-001303
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-04 18:37:17
- Reporting Period:
- 2011-01-01
- Filing Date:
- 2011-01-04
- Accepted Time:
- 2011-01-04 18:37:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1403256 | Och-Ziff Capital Management Group Llc | OZM | Investment Advice (6282) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1417381 | C Jeffrey Blockinger | C/O Och-Ziff Capital Management Group Llc, 9 West 57Th Street New York NY 10019 | Chief Legal Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Shares | Acquisiton | 2011-01-01 | 160,586 | $0.00 | 221,850 | No | 4 | M | Direct | |
| Class A Shares | Disposition | 2011-01-03 | 141,514 | $15.48 | 80,336 | No | 4 | S | Direct | |
| Class A Shares | Disposition | 2011-01-04 | 80,336 | $15.26 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Shares | Class A Restricted Share Units | Disposition | 2011-01-01 | 160,586 | $0.00 | 160,586 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 160,583 | No | 4 | M | Direct |
Footnotes
- The amount shown represents the January 1, 2011 vesting of the Class A Restricted Share Units granted to the Reporting Person on September 30, 2009. See Footnote (5).
- All sales listed on this Form 4 were made by the Reporting Person pursuant to a plan adopted on November 15, 2010 that is intended to comply with Exchange Act Rule 10b5-1(c).
- The Class A Shares were sold at prices ranging from $15.32 to $15.73. Upon request the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer the full information regarding the number of Class A Shares sold at each separate price.
- The Class A Shares were sold at prices ranging from $15.125 to $15.75. Upon request the Reporting Person will provide to the Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer the full information regarding the number of Class A Shares sold at each separate price.
- Each Class A Restricted Share Unit represents a right to receive one of the Issuer's Class A Shares upon the vesting date.
- The Class A Restricted Share Units vest, subject to certain limited exceptions, in three equal installments on January 1 of 2010, 2011, and 2012.
Billionaire Hedge Funds
