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: 97 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-30: Reporting owner Varga Zoltan; 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).
- 2009-12-30: 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).
- 2009-12-30: Reporting owner Cohen Michael L; Form 4; Security Och-Ziff Operating Group A Units; Transaction Holding.
- 2009-12-30: Reporting owner Cohen Michael L; Form 4; Security Och-Ziff Operating Group A Units; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-30 | 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) | −158,970 12,686,261 owned after | $0.00 | 2009-12-30 | |
| 2009-12-30 | Cohen Michael L 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) | −263,613 14,143,303 owned after | $0.00 | 2009-12-30 | |
| 2009-12-30 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT I | Holding | 3,446,983 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT II | Holding | 3,446,983 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 | Kelly Harold 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) | −121,260 6,505,296 owned after | $0.00 | 2009-12-30 | |
| 2009-12-30 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Harold A. Kelly, Jr. 2007 Annuity Trust | Holding | 3,171,659 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −84,384 5,162,287 owned after | $0.00 | 2009-12-30 | |
| 2009-12-30 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2007 Annuity Trust | Holding | 1,003,296 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2008 Annuity Trust | Holding | 568,472 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −440,613 25,162,247 owned after | $0.00 | 2009-12-30 | |
| 2009-12-30 holding as of filing | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT III | Holding | 5,000,000 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 holding as of filing | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT IV | Holding | 5,000,000 owned after | no price filed | 2009-12-30 | |
| 2009-12-30 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +1,904,423 58,415,045 owned after | $0.00 | 2009-12-30 | |
| 2009-12-30 holding as of filing | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · See footnotes | Holding | 93,564,182 owned after | no price filed | 2009-12-30 | |
| 2009-11-19 | Blockinger Jeffrey C 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 | −51,290 102,581 owned after | $0.00 | 2009-11-19 | |
| 2009-11-19 | Blockinger Jeffrey C 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 | −51,290 102,581 owned after | $0.00 | 2009-11-19 | |
| 2009-11-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,419 3,415 owned after | $0.00 | 2009-11-19 | |
| 2009-11-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,419 3,415 owned after | $0.00 | 2009-11-19 | |
| 2009-11-10 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36 6,834 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84 15,784 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34 6,485 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84 15,784 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75 14,094 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84 15,784 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36 6,834 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84 15,784 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | 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) | +824 153,871 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | 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) | +174 32,615 owned after | $0.00 | 2009-11-12 | |
| 2009-11-10 | 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) | +2,423 452,423 owned after | $0.00 | 2009-11-12 | |
| 2009-09-30 | 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) | +450,000 450,000 owned after | $0.00 | 2009-10-01 | |
| 2009-09-18 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,012 14,019 owned after | $0.00 | 2009-09-18 | |
| 2009-08-11 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39 21,031 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 15,700 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12 6,451 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 15,700 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | 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) | +288 153,047 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | 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) | +61 32,441 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12 6,798 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 15,700 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12 6,798 owned after | $0.00 | 2009-08-12 | |
| 2009-08-11 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 15,700 owned after | $0.00 | 2009-08-12 | |
| 2009-06-19 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +91,153 60,319,468 owned after | $0.00 | 2009-06-19 | |
| 2009-06-19 holding as of filing | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · See footnotes | Holding | 93,564,182 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,090 25,602,860 owned after | $0.00 | 2009-06-19 | |
| 2009-06-19 holding as of filing | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT III | Holding | 5,000,000 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 holding as of filing | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT IV | Holding | 5,000,000 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,804 6,626,556 owned after | $0.00 | 2009-06-19 | |
| 2009-06-19 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Harold A. Kelly, Jr. 2007 Annuity Trust | Holding | 3,171,659 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 | Varga Zoltan Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,609 12,845,231 owned after | $0.00 | 2009-06-19 | |
| 2009-06-19 | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,618 14,406,916 owned after | $0.00 | 2009-06-19 | |
| 2009-06-19 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT I | Holding | 3,446,983 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT II | Holding | 3,446,983 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,039 5,246,671 owned after | $0.00 | 2009-06-19 | |
| 2009-06-19 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2007 Annuity Trust | Holding | 1,003,296 owned after | no price filed | 2009-06-19 | |
| 2009-06-19 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2008 Annuity Trust | Holding | 568,472 owned after | no price filed | 2009-06-19 | |
| 2009-05-14 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT I | Holding | 3,446,983 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT II | Holding | 3,446,983 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · See footnotes | Holding | 93,564,182 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Windreich David Director, Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT III | Holding | 5,000,000 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Windreich David Director, Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT IV | Holding | 5,000,000 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2007 Annuity Trust | Holding | 1,003,296 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2008 Annuity Trust | Holding | 568,472 owned after | no price filed | 2009-05-14 | |
| 2009-05-14 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Harold A. Kelly, Jr. 2007 Annuity Trust | Holding | 3,171,659 owned after | no price filed | 2009-05-14 | |
| 2009-05-12 | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,682 14,394,298 owned after | $0.00 | 2009-05-14 | |
| 2009-05-12 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +907,963 60,228,315 owned after | $0.00 | 2009-05-14 | |
| 2009-05-12 | Windreich David Director, Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +210,069 25,581,770 owned after | $0.00 | 2009-05-14 | |
| 2009-05-12 | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,231 5,242,632 owned after | $0.00 | 2009-05-14 | |
| 2009-05-12 | Varga Zoltan Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,791 12,837,622 owned after | $0.00 | 2009-05-14 | |
| 2009-05-12 | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +57,813 6,620,752 owned after | $0.00 | 2009-05-14 | |
| 2009-05-11 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32 6,439 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78 15,671 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +105 20,992 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78 15,671 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34 6,786 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78 15,671 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34 6,786 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78 15,671 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | 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) | +767 152,759 owned after | $0.00 | 2009-05-13 | |
| 2009-05-11 | 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) | +162 32,380 owned after | $0.00 | 2009-05-13 | |
| 2009-02-19 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +196 20,887 owned after | $0.00 | 2009-02-20 | |
| 2009-02-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63 6,752 owned after | $0.00 | 2009-02-20 | |
| 2009-02-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63 6,752 owned after | $0.00 | 2009-02-20 | |
| 2009-02-19 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60 6,407 owned after | $0.00 | 2009-02-20 | |
| 2009-02-19 | 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) | +1,431 151,992 owned after | $0.00 | 2009-02-20 | |
| 2009-02-19 | 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) | +303 32,218 owned after | $0.00 | 2009-02-20 | |
| 2009-02-04 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,174 6,347 owned after | $0.00 | 2009-02-04 | |
| 2009-01-15 | COBB WILLIAM C Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,593 15,593 owned after | $0.00 | 2009-01-15 | |
| 2009-01-15 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,593 15,593 owned after | $0.00 | 2009-01-15 | |
| 2009-01-15 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,593 15,593 owned after | $0.00 | 2009-01-15 | |
| 2009-01-15 | LEEDS JEFFREY R Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,593 15,593 owned after | $0.00 | 2009-01-15 | |
| 2009-01-02 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2007 Annuity Trust | Holding | 1,003,296 owned after | no price filed | 2009-01-02 | |
| 2009-01-02 holding as of filing | Frank Joel Director, Officer (Chief Financial Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Joel M. Frank 2008 Annuity Trust | Holding | 568,472 owned after | no price filed | 2009-01-02 | |
| 2009-01-02 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT I | Holding | 3,446,983 owned after | no price filed | 2009-01-02 | |
| 2009-01-02 holding as of filing | Cohen Michael L Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Michael Cohen GRAT II | Holding | 3,446,983 owned after | no price filed | 2009-01-02 | |
| 2009-01-02 holding as of filing | Kelly Harold Officer (Executive Managing Director) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The Harold A. Kelly, Jr. 2007 Annuity Trust | Holding | 3,171,659 owned after | no price filed | 2009-01-02 | |
| 2009-01-02 holding as of filing | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT III | Holding | 5,000,000 owned after | no price filed | 2009-01-02 | |
| 2009-01-02 holding as of filing | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held by The David Windreich GRAT IV | Holding | 5,000,000 owned after | no price filed | 2009-01-02 |