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: 71 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-03: Reporting owner Och Daniel; Form 5; Security Och-Ziff Operating Group A Units; Transaction G Bona fide gift.
- 2012-12-03: Reporting owner Och Daniel; Form 5; Security Och-Ziff Operating Group A Units; Transaction G Bona fide gift.
- 2012-12-03: Reporting owner Och Daniel; Form 5; Security Och-Ziff Operating Group A Units; Transaction G Bona fide gift.
- 2012-12-03: Reporting owner Och Daniel; Form 5; Security Och-Ziff Operating Group A Units; Transaction G Bona fide gift.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-03 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | G Bona fide gift | −34,532 61,395,237 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +34,532 93,594,143 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −10,491,763 93,594,143 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +10,491,763 93,594,143 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Frank Joel Director, Officer (Chief Financial Officer) | 5 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | G Bona fide gift | −599,235 4,000,000 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Frank Joel Director, Officer (Chief Financial Officer) | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +599,235 2,867,431 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Direct · (m) | G Bona fide gift | −3,134,532 5,013,675 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +3,134,532 30,845,008 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −2,830,935 30,845,008 owned after | $0.00 | 2013-02-14 | |
| 2012-12-03 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +2,830,935 30,845,008 owned after | $0.00 | 2013-02-14 | |
| 2012-11-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 2,204 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68 5,174 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +170 12,828 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29 2,204 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68 5,174 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +170 12,828 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +191 14,433 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +170 12,828 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +191 14,433 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +170 12,828 owned after | $0.00 | 2012-11-20 | |
| 2012-11-19 holding as of filing | Blockinger Jeffrey C Officer (Chief Legal Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Indirect · Held in Trust | Holding | 153,982 owned after | no price filed | 2012-11-19 | |
| 2012-11-15 | Blockinger Jeffrey C Officer (Chief Legal Officer) | 4 | Och-Ziff Operating Group A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,860 1,018,795 owned after | $0.00 | 2012-11-19 | |
| 2012-08-20 | 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 2,175 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | 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 5,106 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209 12,658 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | 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 2,175 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | 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 5,106 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209 12,658 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +236 14,242 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209 12,658 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +236 14,242 owned after | $0.00 | 2012-08-21 | |
| 2012-08-20 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +208 12,658 owned after | $0.00 | 2012-08-21 | |
| 2012-07-02 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,006 14,006 owned after | $0.00 | 2012-07-02 | |
| 2012-07-02 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,006 14,006 owned after | $0.00 | 2012-07-02 | |
| 2012-05-21 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +295 21,012 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 12,449 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +295 21,012 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 12,449 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30 2,139 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70 5,022 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 12,449 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30 2,139 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70 5,022 owned after | $0.00 | 2012-05-23 | |
| 2012-05-21 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175 12,449 owned after | $0.00 | 2012-05-23 | |
| 2012-03-01 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −81,348,398 93,559,611 owned after | $0.00 | 2013-02-14 | |
| 2012-03-01 | Och Daniel Director, Officer (Chief Executive Officer), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +81,348,398 93,559,611 owned after | $0.00 | 2013-02-14 | |
| 2012-03-01 | Frank Joel Director, Officer (Chief Financial Officer) | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −568,472 2,268,196 owned after | $0.00 | 2013-02-14 | |
| 2012-03-01 | Frank Joel Director, Officer (Chief Financial Officer) | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +568,472 2,268,196 owned after | $0.00 | 2013-02-14 | |
| 2012-03-01 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | −1,441,786 27,710,476 owned after | $0.00 | 2013-02-14 | |
| 2012-03-01 | Windreich David Director, Officer (Executive Managing Director), 10% Owner | 5 | Och-Ziff Operating Group A Units Derivative · Indirect · (m) | G Bona fide gift | +1,441,786 27,710,476 owned after | $0.00 | 2013-02-14 | |
| 2012-02-28 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8 2,109 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20 4,952 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49 12,274 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8 2,109 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20 4,952 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49 12,274 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84 20,717 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49 12,274 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84 20,717 owned after | $0.00 | 2012-03-01 | |
| 2012-02-28 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49 12,274 owned after | $0.00 | 2012-03-01 | |
| 2012-01-03 | 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 | −6,046 0 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | 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 | −2,105 2,101 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | 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 | −2,467 4,932 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | BUFFERD ALLAN S Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,225 12,225 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | 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 | −6,046 0 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | 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 | −2,105 2,101 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | 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 | −2,467 4,932 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | KENNEY JEROME P Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,225 12,225 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | PROCTOR GEORGANNE Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,225 12,225 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | GRISWELL J BARRY Director | 4 | Class A Restricted Share Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,225 12,225 owned after | $0.00 | 2012-01-04 | |
| 2012-01-03 | 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 | −173,526 0 owned after | $0.00 | 2012-01-04 |