Filing Details
- Accession Number:
- 0001403256-20-000014
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-01-03 16:33:31
- Reporting Period:
- 2020-01-01
- Accepted Time:
- 2020-01-03 16:33:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1403256 | Sculptor Capital Management Inc. | SCU | Investment Advice (6282) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1691807 | Michael David Levine | C/O Sculptor Capital Management 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 | 2020-01-01 | 9,365 | $0.00 | 9,365 | No | 4 | M | Direct | |
| Class A Shares | Disposition | 2020-01-02 | 4,827 | $21.26 | 4,538 | No | 4 | S | Direct | |
| Class A Shares | Disposition | 2020-01-03 | 4,538 | $20.74 | 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 | 2020-01-01 | 9,365 | $0.00 | 9,365 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 18,726 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Shares | Class A Restricted Share Units | $0.00 | 16,519 | 16,519 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 16,519 | 16,519 | Direct |
Footnotes
- The transaction reported on this line represents the vesting of Class A Restricted Share Units as presented in Table II below.
- The Class A Shares were sold at prices ranging from $21.14 to $21.41. 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 Shares were sold at prices ranging from $20.39 to $20.94. 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.
- 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 Restricted Share Units relate to Class A Restricted Share Units granted on February 20, 2019. The remaining Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on January 1, 2021 and January 1, 2022.
- The Class A Restricted Share Units relate to Class A Restricted Share Units granted on January 23, 2017. The Class A Restricted Share Units vest, subject to certain limited exceptions, as follows: 8,371 on March 2, 2020; 2,805 on September 14, 2020; and 5,343 on March 1, 2021.
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