SCULPTOR CAPITAL MANAGEMENT, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 70 rows in 2023. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-11-17: Reporting owner Rithm Capital Corp.; Form 4; Security Class A Units; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2023-11-17: Reporting owner Ritchea Dava; Form 4; Security Class A Restricted Share Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-11-17: Reporting owner Ritchea Dava; Form 4; Security Class A Restricted Share Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-11-17: Reporting owner Ritchea Dava; Form 4; Security Class A Restricted Share Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-11-17 | Rithm Capital Corp. 10% Owner | 4 | Class A Units Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,025,994 0 owned after | $7.33 | 2023-11-20 | |
| 2023-11-17 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,220 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,649 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,742 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,942 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,653 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,845 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,432 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,198 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −39,619 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,884 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −43,331 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,809 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −94,944 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −98,461 0 owned after | $12.70 | 2023-11-20 | |
| 2023-11-17 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −733,184 0 owned after | $12.70 | 2023-11-20 | |
| 2023-05-23 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,108 733,184 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +686 98,461 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +301 43,331 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +661 94,944 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75 10,809 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +93 13,432 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20 2,884 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22 3,198 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +276 39,619 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +236 33,942 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33 4,845 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53 7,653 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +231 33,220 owned after | $0.00 | 2023-05-25 | |
| 2023-05-23 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +204 29,391 owned after | $0.00 | 2023-05-25 | |
| 2023-03-21 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,736 728,076 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,246 97,775 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +306 13,339 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65 2,864 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73 3,176 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +904 39,343 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +774 33,706 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110 4,812 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +174 7,600 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +989 43,030 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,166 94,283 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +246 10,734 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +758 32,989 owned after | $0.00 | 2023-03-22 | |
| 2023-03-21 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +670 29,187 owned after | $0.00 | 2023-03-22 | |
| 2023-02-02 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 4,702 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 7,426 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 92,117 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 10,488 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 2,799 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 3,103 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 38,439 owned after | no price filed | 2023-02-02 | |
| 2023-02-02 holding as of filing | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | Holding | 28,517 owned after | no price filed | 2023-02-02 | |
| 2023-01-31 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,932 32,932 owned after | $0.00 | 2023-02-02 | |
| 2023-01-31 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +42,041 42,041 owned after | $0.00 | 2023-02-02 | |
| 2023-01-31 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,033 13,033 owned after | $0.00 | 2023-02-02 | |
| 2023-01-31 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,231 32,231 owned after | $0.00 | 2023-02-02 | |
| 2023-01-01 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −355,677 711,340 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −63,894 0 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Levin James S Director, Officer (CIO and CEO) | 4 | Class A Restricted Share Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −95,537 95,529 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,402 2,799 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,106 3,103 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,794 0 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Pollard Herbert Alvin Officer (Chief Accounting Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,814 38,439 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Ritchea Dava Officer (Chief Financial Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,262 28,517 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,353 4,702 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,428 7,426 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Levine David Michael Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,406 0 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −46,063 92,117 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,491 10,488 owned after | $0.00 | 2023-01-04 | |
| 2023-01-01 | Cohen Wayne Director, Officer (President and COO) | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,026 0 owned after | $0.00 | 2023-01-04 |