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: 27 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-11-30: Reporting owner KENNEY JEROME P; Form 4; Security Class A Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-11-30: Reporting owner BUFFERD ALLAN S; Form 4; Security Class A Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-11-19: Reporting owner Daniel Och S | Och Family 2007 GRAT; Form 4; Security Och-Ziff Operating Group A Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2007-11-19: Reporting owner Cohen Michael L; Form 4; Security Och-Ziff Operating Group A 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 |
|---|---|---|---|---|---|---|---|---|
| 2007-11-30 | KENNEY JEROME P Director | 4 | Class A Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,375 9,375 owned after | $0.00 | 2008-01-11 | |
| 2007-11-30 | BUFFERD ALLAN S Director | 4 | Class A Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,375 9,375 owned after | $0.00 | 2008-01-11 | |
| 2007-11-19 | Daniel Och S | Och Family 2007 GRAT Director, Officer (Chief Executive Officer), 10% Owner | Other | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · see footnotes 3-6 | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −35,970,775 150,940,199 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,336,236 13,999,478 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −821,455 3,446,983 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −821,455 3,446,983 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,825,586 24,445,268 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,248,345 5,238,294 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,248,345 5,238,294 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Varga Zoltan Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,002,612 12,599,531 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,534,520 6,439,138 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −755,843 3,171,659 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,354,734 5,684,722 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −239,097 1,003,296 owned after | $30.24 | 2007-11-20 | |
| 2007-11-19 | Blockinger Jeffrey C Officer (Chief Legal Officer) | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −187,500 187,500 owned after | $0.00 | 2007-11-20 | |
| 2007-11-13 holding as of filing | Windreich David Director, Officer (Executive MD & Director), 10% Owner | 3 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Windreich David Director, Officer (Executive MD & Director), 10% Owner | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Windreich David Director, Officer (Executive MD & Director), 10% Owner | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Varga Zoltan Officer (Executive Managing Director) | 3 | Och-Ziff Operating Group A Units Derivative · Direct | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 3 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 3 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 3 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | Holding | no price filed | 2007-11-13 | ||
| 2007-11-13 holding as of filing | Daniel Och S | Och Family 2007 GRAT Director, Officer (Chief Executive Officer), 10% Owner | 10% Owner | 3 | Och-Ziff Operating Group A Units Derivative · Indirect · See Footnote | Holding | no price filed | 2007-11-13 |