Filing Details
- Accession Number:
- 0001403256-19-000037
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-01-24 18:11:33
- Reporting Period:
- 2019-01-22
- Accepted Time:
- 2019-01-24 18:11:33
- 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 |
|---|---|---|---|---|---|---|---|
| 1691781 | Erez Elisha | C/O Och-Ziff Capital Management Group 9 West 57Th Street New York NY 10019 | Chief Accounting 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 | Disposition | 2019-01-22 | 1,758 | $12.15 | 3,516 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Acquisiton | 2019-01-22 | 16,540 | $0.00 | 16,540 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,540 | No | 4 | A | 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 | 41,584 | 41,584 | Direct | ||
| Class A Shares | Class A Restricted Share Units | $0.00 | 5,199 | 5,199 | Direct | ||
| Class A Shares | Class A Restricted Share Units | $0.00 | 4,610 | 4,610 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 41,584 | 41,584 | Direct | |
| 5,199 | 5,199 | Direct | |
| 4,610 | 4,610 | Direct |
Footnotes
- The price reported in column 4 is a weighted average price. The Class A Shares were sold in multiple transactions at prices ranging from $11.76 to $12.32. 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 within the range set forth in this footnote.
- 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 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.
- The Class A Restricted Share Units relate to Class A Restricted Share Units granted on April 23, 2018. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2019 and December 26, 2020.
- The Class A Restricted Share Units relate to Class A Restricted Share Units granted on January 31, 2018. The Class A Restricted Share Units vest, subject to certain limited exceptions, in equal installments on December 26, 2019 and December 26, 2020.
- The Class A Restricted Share Units relate to Class A Restricted Share Units granted on January 31, 2017. The Class A Restricted Share Units vest, subject to certain limited exceptions, on December 26, 2019.
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