Filing Details
- Accession Number:
- 0001403256-18-000237
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-17 16:38:13
- Reporting Period:
- 2018-09-14
- Accepted Time:
- 2018-09-17 16:38:13
- 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 |
|---|---|---|---|---|---|---|---|
| 1691807 | Michael David Levine | Och-Ziff Capital Management Group Llc 9 West 57Th Street, 39Th Floor 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 | 2018-09-14 | 26,186 | $0.00 | 26,186 | No | 4 | M | Direct | |
| Class A Shares | Disposition | 2018-09-14 | 26,186 | $1.66 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2018-09-14 | 26,186 | $0.00 | 26,186 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 258,507 | No | 4 | M | Direct |
Footnotes
- The amount shown represents the vesting of the Class A Restricted Share Units held by the Reporting Person.
- Each 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.
- The Class A Shares were sold at prices ranging from $1.65 to $1.67. Upon request, the Reporting Person will provide to the U.S. Securities and Exchange Commission staff, the Issuer and any security holder of the Issuer full information regarding the number of Class A Shares sold at each separate price.
- The Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 78,133 on March 1, 2019; 26,187 on September 13, 2019; 78,132 on March 2, 2020; 26,186 on September 14, 2020; and 49,869 on March 1, 2021.
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