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SCULPTOR CAPITAL MANAGEMENT, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights, 2010

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: 89 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2010-11-19: Reporting owner Blockinger Jeffrey C; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
  • 2010-11-19: Reporting owner KENNEY JEROME P; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
  • 2010-11-19: Reporting owner BUFFERD ALLAN S; Form 4; Security Class A Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
  • 2010-11-18: Reporting owner Blockinger Jeffrey C; Form 4; Security Class A Restricted Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2010-11-19Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−54,618
54,612 owned after
$0.002010-11-22
2010-11-19KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,634
0 owned after
$0.002010-11-22
2010-11-19BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,634
0 owned after
$0.002010-11-22
2010-11-18Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+738
109,230 owned after
$0.002010-11-22
2010-11-18Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+234
34,727 owned after
$0.002010-11-22
2010-11-18Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+2,171
321,169 owned after
$0.002010-11-22
2010-11-18COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50
7,501 owned after
$0.002010-11-22
2010-11-18COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+75
11,201 owned after
$0.002010-11-22
2010-11-18COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+39
5,842 owned after
$0.002010-11-22
2010-11-18LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+23
3,450 owned after
$0.002010-11-22
2010-11-18LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+75
11,201 owned after
$0.002010-11-22
2010-11-18LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+39
5,842 owned after
$0.002010-11-22
2010-11-18KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+24
3,634 owned after
$0.002010-11-22
2010-11-18KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+75
11,201 owned after
$0.002010-11-22
2010-11-18KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+39
5,842 owned after
$0.002010-11-22
2010-11-18BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+24
3,634 owned after
$0.002010-11-22
2010-11-18BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+75
11,201 owned after
$0.002010-11-22
2010-11-18BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+39
5,842 owned after
$0.002010-11-22
2010-09-18COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−7,454
7,451 owned after
$0.002010-09-21
2010-08-19LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+26
3,427 owned after
$0.002010-08-19
2010-08-19LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+85
11,126 owned after
$0.002010-08-19
2010-08-19LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+44
5,803 owned after
$0.002010-08-19
2010-08-19Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+832
108,492 owned after
$0.002010-08-19
2010-08-19Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+264
34,493 owned after
$0.002010-08-19
2010-08-19Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+2,448
318,998 owned after
$0.002010-08-19
2010-08-19COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+114
14,905 owned after
$0.002010-08-19
2010-08-19COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+85
11,126 owned after
$0.002010-08-19
2010-08-19COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+44
5,803 owned after
$0.002010-08-19
2010-08-19KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+27
3,610 owned after
$0.002010-08-19
2010-08-19KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+85
11,126 owned after
$0.002010-08-19
2010-08-19KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+44
5,803 owned after
$0.002010-08-19
2010-08-19BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+27
3,610 owned after
$0.002010-08-19
2010-08-19BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+85
11,126 owned after
$0.002010-08-19
2010-08-19BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+44
5,803 owned after
$0.002010-08-19
2010-05-11BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+18
3,583 owned after
$0.002010-05-12
2010-05-11BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+57
11,041 owned after
$0.002010-05-12
2010-05-11BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+29
5,759 owned after
$0.002010-05-12
2010-05-11KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+18
3,583 owned after
$0.002010-05-12
2010-05-11KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+57
11,041 owned after
$0.002010-05-12
2010-05-11KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+29
5,759 owned after
$0.002010-05-12
2010-05-11LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+17
3,401 owned after
$0.002010-05-12
2010-05-11LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+57
11,041 owned after
$0.002010-05-12
2010-05-11LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+29
5,759 owned after
$0.002010-05-12
2010-05-11COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+76
14,791 owned after
$0.002010-05-12
2010-05-11COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+57
11,041 owned after
$0.002010-05-12
2010-05-11COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+29
5,759 owned after
$0.002010-05-12
2010-05-11Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+558
107,660 owned after
$0.002010-05-12
2010-05-11Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+177
34,229 owned after
$0.002010-05-12
2010-05-11Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,642
316,550 owned after
$0.002010-05-12
2010-03-18
holding as of filing
Windreich David
Director, Officer (Executive Managing Director), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the David Windreich GRAT III
Holding
4,969,368 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Windreich David
Director, Officer (Executive Managing Director), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the David Windreich GRAT IV
Holding
5,000,000 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Windreich David
Director, Officer (Executive Managing Director), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the David Windreich GRAT V
Holding
2,500,000 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Windreich David
Director, Officer (Executive Managing Director), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the David Windreich GRAT VI
Holding
2,500,000 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Windreich David
Director, Officer (Executive Managing Director), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Windreich Family 2009 GST Exempt Trust
Holding
1,948,051 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Och Daniel
Director, Officer (Chief Executive Officer), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Indirect · See footnotes
Holding
92,343,420 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Kelly Harold
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Kelly Family 2007 Trust
Holding
1,829,825 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Kelly Harold
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Harold A. Kelly, Jr. 2009 Annuity Trust
Holding
5,234,720 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Cohen Michael L
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Michael Cohen GRAT II
Holding
3,446,983 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Cohen Michael L
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Cohen Family Trust
Holding
3,446,983 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Cohen Michael L
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Cohen Family 2009 GST Exempt Trust
Holding
2,068,965 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Frank Joel
Director, Officer (Chief Financial Officer)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Joel M. Fank 2007 Annuity Trust
Holding
1,003,296 owned after
no price filed2010-03-18
2010-03-18
holding as of filing
Frank Joel
Director, Officer (Chief Financial Officer)
4Och-Ziff Operating Group A Units
Derivative · Indirect · Held by the Joel M. Frank 2008 Annuity Trust
Holding
568,472 owned after
no price filed2010-03-18
2010-03-16Windreich David
Director, Officer (Executive Managing Director), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+433,774
18,678,602 owned after
$0.002010-03-18
2010-03-16Och Daniel
Director, Officer (Chief Executive Officer), 10% Owner
4Och-Ziff Operating Group A Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,874,865
61,510,672 owned after
$0.002010-03-18
2010-03-16Kelly Harold
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+119,378
2,731,788 owned after
$0.002010-03-18
2010-03-16Varga Zoltan
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+156,502
12,842,763 owned after
$0.002010-03-18
2010-03-16Cohen Michael L
Officer (Executive Managing Director)
4Och-Ziff Operating Group A Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+259,523
12,333,861 owned after
$0.002010-03-18
2010-03-16Frank Joel
Director, Officer (Chief Financial Officer)
4Och-Ziff Operating Group A Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+83,073
5,245,360 owned after
$0.002010-03-18
2010-02-18BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150
3,565 owned after
$0.002010-02-22
2010-02-18BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+463
10,984 owned after
$0.002010-02-22
2010-02-18COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+621
14,715 owned after
$0.002010-02-22
2010-02-18COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+463
10,984 owned after
$0.002010-02-22
2010-02-18LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+142
3,384 owned after
$0.002010-02-22
2010-02-18LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+463
10,984 owned after
$0.002010-02-22
2010-02-18KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150
3,565 owned after
$0.002010-02-22
2010-02-18KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+463
10,984 owned after
$0.002010-02-22
2010-02-18Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+4,521
107,102 owned after
$0.002010-02-22
2010-02-18Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,437
34,052 owned after
$0.002010-02-22
2010-02-18Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+13,293
314,908 owned after
$0.002010-02-22
2010-02-04LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−3,243
3,242 owned after
$0.002010-02-05
2010-01-04KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+5,730
5,730 owned after
$0.002010-01-05
2010-01-04BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+5,730
5,730 owned after
$0.002010-01-05
2010-01-04LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+5,730
5,730 owned after
$0.002010-01-05
2010-01-04COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+5,730
5,730 owned after
$0.002010-01-05
2010-01-01KENNEY JEROME P
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−5,263
10,521 owned after
$0.002010-01-05
2010-01-01BUFFERD ALLAN S
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−5,263
10,521 owned after
$0.002010-01-05
2010-01-01Blockinger Jeffrey C
Officer (Chief Legal Officer)
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−150,808
301,615 owned after
$0.002010-01-05
2010-01-01LEEDS JEFFREY R
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−5,263
10,521 owned after
$0.002010-01-05
2010-01-01COBB WILLIAM C
Director
4Class A Restricted Share Units
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−5,263
10,521 owned after
$0.002010-01-05